Thomas S. Wright

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CRD#: 1943409

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Thomas Stuart Wright, who also goes by Tom Wright, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1989. Thomas had worked at 1 firm and has passed the Series 65 and Series 63 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Wright

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 23, 1989 - June 5, 2017

THOMAS WRIGHT ASSET MANAGEMENT, INC.

RIA

CRD#: 105192

MT. PLEASANT, SC

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".

THOMAS WRIGHT ASSET MANAGEMENT, INC.

CRD#: 105192 / SEC#: 801-96292

RIA

Registered Investment Advisory firm - (5/15/2015 Approved)

South Carolina

Registered Investment Advisory firm - (5/21/2015 Terminated)

Texas

Registered Investment Advisory firm - (5/21/2015 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 7/14/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/5/1989

Uniform Securities Agent State Law Examination

Current Firm

THOMAS WRIGHT ASSET MANAGEMENT, INC.

CRD#: 105192 / SEC#: 801-96292

RIA

Registered Investment Advisory firm - (5/15/2015 Approved)

South Carolina

Registered Investment Advisory firm - (5/21/2015 Terminated)

Texas

Registered Investment Advisory firm - (5/21/2015 Terminated)

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Contact information

Main Address

53 Calle Palmeras Suite 401, San Juan, PR 00901-2408

Mailing Address

Phone number

(843) 971-4265

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THOMAS WRIGHT ASSET MANAGEMENT, INC. DISCLOSURE BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts	57
AUM (Assets Under Management)	$ 320,096,899

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 S. Wright

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THOMAS WRIGHT ASSET MANAGEMENT, INC.

Primary Firm SEC Registration

THOMAS WRIGHT ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/14/1998

Series 63

Date: 4/5/1989

Current Firm

THOMAS WRIGHT ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THOMAS WRIGHT ASSET MANAGEMENT, INC.

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