TG
Thomas W. Grant
WELLINGTON SHIELDS CAPITAL MANAGEMENT
NEW YORK, NY 10004
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CRD#: 227594
TG
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 1, Series 10, Series 24, Series 9 and Series 40 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.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Waters Grant's 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®
NoneExperience
Current
August 24, 2021 - Present
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
Office #1: 60 Broad St. 39th Floor, New York, NY 10004RIA
CRD#: 150529
NEW YORK, NY
Current
October 21, 2009 - Present
WELLINGTON SHIELDS & CO., LLC
Office #2: 60 Broad Street 39th Floor, New York, NY 10004Office #3: 60 Broad Street 39th Floor, New York, NY, 10004RIA
BD
CRD#: 149021
Dorset, VT
Past
May 29, 1991 - December 10, 2009
H. G. WELLINGTON & CO., INC.
BD
CRD#: 7536
DORSET, VT
Past
April 13, 1988 - May 16, 1991
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
August 25, 1969 - April 13, 1988
FAHNESTOCK INTERNATIONAL INC.
BD
CRD#: 279
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".
WS
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
CRD#: 150529 / SEC#: 801-70712
RIA
Registered Investment Advisory firm - (3/9/2010 Approved)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.RR
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
RR
Alaska(1/8/2010)
RR
California(10/26/2009)
RR
Connecticut(10/28/2009)
RR
Delaware(10/29/2009)
RR
Florida(11/25/2009)
RR
Georgia(7/8/2013)
RR
Idaho(1/8/2010)
RR
Iowa(12/22/2009)
RR
Kentucky(12/9/2009)
RR
Maine(12/9/2009)
RR
Maryland(8/8/2014)
RR
Massachusetts(11/10/2009)
RR
Mississippi(1/13/2015)
RR
New Hampshire(12/3/2013)
RR
New Jersey(11/24/2009)
RR
New Mexico(12/10/2009)
RR
New York(10/22/2009)
IAR
New York(8/24/2021)
RR
North Carolina(12/11/2009)
RR
North Dakota(1/8/2010)
RR
Ohio(9/28/2015)
RR
South Dakota(1/8/2010)
RR
Texas(11/24/2009)
RR
Vermont(6/19/2019)
RR
Virginia(12/10/2009)
RR
Washington(10/22/2009)
RR
Wisconsin(4/9/2015)
RR
Wyoming(10/19/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 8/31/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 10/14/1966
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 10/14/1966
Registered Principal ExaminationSRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange
Current Firm
WS
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
CRD#: 150529 / SEC#: 801-70712
RIA
Registered Investment Advisory firm - (3/9/2010 Approved)PREMIUM
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Contact information
Main Address
60 Broad St. 39th Floor, New York, NY 10004
Mailing Address
Phone number
(212) 320-3000
Established
Firm type
Fiscal year end
# of Employees
21
SEC notice filing (21 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 527 |
| AUM (Assets Under Management) | $ 999,720,457 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/29/2025 | ||
| 08/29/2024 | ||
| 11/22/2023 | ||
| 01/27/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
CRD#: 150529New York, NY 10004TRUST BUT VERIFY
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Contact information
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