Thomas D. Masterson

WILMINGTON CAPITAL SECURITIES

Lauderdale By The Sea, FL 33308

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CRD#: 2091674

Professional summary

Thomas Daniel Masterson is a registered financial professional currently at WILMINGTON CAPITAL SECURITIES, LLC located in Lauderdale By The Sea, Florida.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1990. Thomas has worked at 18 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Thomas Daniel Masterson'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

January 28, 2022 - Present

WILMINGTON CAPITAL SECURITIES, LLC

Office #1: 275 Commercial Boulevard Suite 333, Lauderdale By The Sea, FL 33308

RIA

CRD#: 133839

Lauderdale By The Sea, FL

Past

December 13, 2019 - January 26, 2022

TRIBAL CAPITAL MARKETS, LLC

CRD#: 38901

Lauderdale-by-the-Sea, FL

Past

October 10, 2018 - December 3, 2019

AEGIS CAPITAL CORP.

CRD#: 15007

FT LAUDERDALE, FL

Past

April 2, 2015 - October 16, 2018

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

FORT LAUDERDALE, FL

Past

May 4, 2012 - April 15, 2015

AURORA CAPITAL LLC

CRD#: 37924

BRIDGEHAMPTON,, NY

Past

December 27, 2008 - May 1, 2012

I-BANKERS SECURITIES, INC.

CRD#: 41352

FORT LAUDERDALE, FL

Past

February 3, 2005 - October 23, 2008

LEGEND MERCHANT GROUP, INC.

CRD#: 5155

FORT LAUDERDALE, FL

Past

November 13, 2003 - February 15, 2005

ARGENTUS SECURITIES, LLC

CRD#: 45915

DALLAS, TX

Past

July 29, 1999 - August 26, 2003

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

January 4, 1999 - July 30, 1999

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

February 5, 1998 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

August 7, 1996 - February 16, 1998

NICHOLS, SAFINA, LERNER & CO. INC.

CRD#: 35476

NEW YORK, NY

Past

January 31, 1996 - August 30, 1996

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

November 11, 1992 - February 6, 1996

M.S. FARRELL & COMPANY, INC.

CRD#: 24232

SYOSSET, NY

Past

March 24, 1992 - November 25, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

April 25, 1991 - April 8, 1992

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

December 4, 1990 - April 24, 1991

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 19, 1990 - November 7, 1990

HIBBARD BROWN & CO., INC.

CRD#: 18246

NEW YORK, NY

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".

WILMINGTON CAPITAL SECURITIES, LLC

CRD#: 133839 / SEC#: 801-101483, 8-67149

RIA

Registered Investment Advisory firm - SEC (7/27/2015 Approved)

New Jersey

Registered Investment Advisory firm - SEC (7/28/2015 Terminated)

New York

Registered Investment Advisory firm - SEC (4/6/2016 Terminated)

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/28/2022)

Florida
(2/17/2022)

Illinois
(4/12/2022)

Massachusetts
(1/31/2022)

New York
(1/28/2022)

Puerto Rico
(5/12/2022)

Texas
(1/28/2022)

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

Series 63

Date: 9/27/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 4/4/2014

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 9/18/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/20/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WILMINGTON CAPITAL SECURITIES, LLC

CRD#: 133839 / SEC#: 801-101483, 8-67149

RIA

Registered Investment Advisory firm - SEC (7/27/2015 Approved)

New Jersey

Registered Investment Advisory firm - SEC (7/28/2015 Terminated)

New York

Registered Investment Advisory firm - SEC (4/6/2016 Terminated)

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

666 Old Country Road Suite 505, Garden City, NY 11530

Mailing Address

666 Old Country Road Suite 505, Garden City, NY 11530

Phone number

(516) 750-6200

Established

New York since 11/18/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (7 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WILMINGTON CAPITAL SECURITIES, LLC (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
WILMINGTON CAPITAL GROUP, INC.	PARENT COMPANY
COLUMBO, JOSEPH DONALD	CHAIRMAN OF BROKER DEALER, GENERAL PRINCIPAL, GOVERNMENT SECURITIES PRINCIPAL, MSRB PRINCIPAL, ELECTED MANAGER	823524
DORUSHKIN, RONALD BRETT	CEO OF BROKER DEALER, GENERAL PRINCIPAL, ELECTED MANAGER	2245185
LEE, DENNIS PETER	CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER OF BROKER DEALER AND INVESTMENT ADVISOR, REGISTERED OPTIONS PRINCIPAL	6008539
MIKES, JOHN	PRESIDENT OF BROKER DEALER, GENERAL SECURITIES PRINCIPAL, ELECTED MANAGER,OSJ SUPERVISOR	2458544
VITTOR, GREG TODD	FINOP, PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER	1864219

Regulatory assets under management

Total Number of Accounts	279
AUM (Assets Under Management)	$ 258,250,437

Disclosures

Regulatory Event

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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Firm Stability Insights

Thomas D. Masterson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Daniel Masterson's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRIBAL CAPITAL MARKETS, LLC

AEGIS CAPITAL CORP.

NEWBRIDGE SECURITIES CORPORATION

AURORA CAPITAL LLC

I-BANKERS SECURITIES, INC.

LEGEND MERCHANT GROUP, INC.

ARGENTUS SECURITIES, LLC

KESTRA INVESTMENT SERVICES, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

ROBERT THOMAS SECURITIES, INC

NICHOLS, SAFINA, LERNER & CO. INC.

GRUNTAL & CO., L.L.C.

M.S. FARRELL & COMPANY, INC.

LEHMAN BROTHERS INC.

JOSEPHTHAL & CO., INC.

UBS FINANCIAL SERVICES INC.

HIBBARD BROWN & CO., INC.

Primary Firm SEC Registration

WILMINGTON CAPITAL SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/27/1990

SIE

Date: 10/1/2018

Series 79

Date: 4/4/2014

Series 7

Date: 9/18/1990

Series 24

Date: 1/20/1995

FINRA

Current Firm

WILMINGTON CAPITAL SECURITIES, LLC

Contact information

SEC notice filing (7 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

WILMINGTON CAPITAL SECURITIES, LLC

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