Thomas Waters Grant
Professional Summary
Thomas Waters Grant is a registered financial advisor currently at WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC located in New York, New York and WELLINGTON SHIELDS & CO., LLC located in Dorset, Vermont. Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1969. Thomas has worked at 5 firms and has passed the Series 63, Series 7TO, Series 52TO, Series 99TO, Series 79TO, SIE, PC, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
60 years in the financial services industry
Current & Past Employments
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Current Firm
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
Contact Information
Main Address
60 Broad St. 39th Floor, New York, NY 10004Phone Number
(212) 320-3000# of Employees
20SEC notice filing (21 States and Territories)
Registered to provide investment advisory services in 21 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
578AUM (Assets Under Management)
$1,173,354,300Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/09/2026 | Cover Page | Report |
| 09/29/2025 | Cover Page | Report |
| 08/29/2024 | Cover Page | Report |
| 11/22/2023 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
State Registrations and Notice Filings
(1/8/2010)
(10/26/2009)
(10/28/2009)
(10/29/2009)
(11/25/2009)
(7/8/2013)
(1/8/2010)
(12/22/2009)
(12/9/2009)
(12/9/2009)
(8/8/2014)
(11/10/2009)
(1/13/2015)
(12/3/2013)
(11/24/2009)
(12/10/2009)
(10/22/2009)
(8/24/2021)
(12/11/2009)
(1/8/2010)
(9/28/2015)
(1/8/2010)
(11/24/2009)
(6/19/2019)
(12/10/2009)
(10/22/2009)
(4/9/2015)
(10/19/2021)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examPC — AMEX Put and Call Exam
Passed Aug 1977Series 1 — Registered Representative Examination
Passed Oct 1966Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 40 — Registered Principal Examination
Passed Oct 1966SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas Waters Grant's CRS (Customer Relationship Summary).
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