Thomas E. Nugent

VICTORIA CAPITAL MANAGEMENT

Charleston, SC 29401

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CRD#: 1043494

Professional summary

Thomas Eugene Nugent is a registered financial advisor currently at VICTORIA CAPITAL MANAGEMENT, INC. located in Charleston, South Carolina.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Thomas has worked at 3 firms and has passed the Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Eugene Nugent's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 1, 2025 - Present

VICTORIA CAPITAL MANAGEMENT, INC.

Office #1: 109 East Bay Street #1e, Charleston, SC 29401

RIA

CRD#: 107665

Charleston, SC

Past

July 14, 2003 - July 13, 2025

VICTORIA CAPITAL MANAGEMENT, INC.

RIA

CRD#: 107665

CHARLESTON, SC

Past

July 16, 1984 - April 24, 1989

SELIGMAN SECURITIES, INC.

CRD#: 3361

Past

May 24, 1982 - July 27, 1984

CAPIS

CRD#: 7551

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VICTORIA CAPITAL MANAGEMENT, INC.

VICTORIA CAPITAL MANAGEMENT, INC. | WEALTH MANAGEMENT SERVICES, INC. OF S. CAROLINA | WEALTH MANAGEMENT SERVICES, INC.

CRD#: 107665 / SEC#: 801-112588

RIA

Registered Investment Advisory firm - (3/7/2018 Approved)

California

Registered Investment Advisory firm - (7/13/2025 Terminated)

Florida

Registered Investment Advisory firm - (6/13/2025 Terminated)

Georgia

Registered Investment Advisory firm - (6/16/2025 Terminated)

South Carolina

Registered Investment Advisory firm - (6/13/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(8/1/2025)

IAR

South Carolina
(8/1/2025)

IAR

Wyoming
(8/4/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/15/2001

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 5/15/1982

General Securities Representative Examination

Current Firm

VICTORIA CAPITAL MANAGEMENT, INC.

VICTORIA CAPITAL MANAGEMENT, INC. | WEALTH MANAGEMENT SERVICES, INC. OF S. CAROLINA | WEALTH MANAGEMENT SERVICES, INC.

CRD#: 107665 / SEC#: 801-112588

RIA

Registered Investment Advisory firm - (3/7/2018 Approved)

California

Registered Investment Advisory firm - (7/13/2025 Terminated)

Florida

Registered Investment Advisory firm - (6/13/2025 Terminated)

Georgia

Registered Investment Advisory firm - (6/16/2025 Terminated)

South Carolina

Registered Investment Advisory firm - (6/13/2025 Terminated)

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Contact information

Main Address

109 East Bay Street #1e, Charleston, SC 29401

Mailing Address

Phone number

(843) 342-3044

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VCM ADV PART 2 2024 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	122
AUM (Assets Under Management)	$ 273,079,566

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas E. Nugent

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Eugene Nugent's CRS (Customer Relationship Summary).

Certified licenses

Experience

VICTORIA CAPITAL MANAGEMENT, INC.

VICTORIA CAPITAL MANAGEMENT, INC.

SELIGMAN SECURITIES, INC.

CAPIS

Primary Firm SEC Registration

VICTORIA CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/15/2001

Series 7

Date: 5/15/1982

Current Firm

VICTORIA CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VICTORIA CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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