TG
Thomas E. Grimm
KINGSWOOD WEALTH ADVISORS
Waxhaw, NC 28173
Some features on this profile are disabled
CRD#: 2702276
TG
Professional summary
Thomas Edwards Grimm, who also goes by Thomas Grimm, Tom Grimm, Thomas Edwards Grimm, is a registered financial advisor currently at KINGSWOOD WEALTH ADVISORS, LLC located in Waxhaw, North Carolina and KINGSWOOD CAPITAL PARTNERS, LLC located in Waxhaw, North Carolina.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 19 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Grimm | Tom Grimm | Thomas Edwards Grimm
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.
1) Admiralty Wealth Management - Yes, investment related - 1812 Mill Chase Lane, Waxhaw, NC 28173 - DBA - Owner - 2/25/2020 - 40+hrs/mo - 40hrs/mo during trading hrs - DBA for advisory, brokerage and insurance business 2) The Admiralty Corp. - 1812 Mill Chase Lane, Waxhaw, N.C. - NON-INVESTMENT RELATED - Bookkeeping - President/Owner - 1 HR/MONTH - NONE DURING MARKET HOURS - General bookkeeping for business 3) Toastmasters & Youth Leadership Program - President, CMC Facility Community Room 2700 Providence Rd Waxhaw, NC 28173, Non-Investment Related 05/21/2019 Teaching kids & adults effective public speaking & communication, less than 4 hours per month non-market hours Toastmasters and YLP,Is Not Investment Related,"1812 MILL CHASE LANE, Suite 2, Waxhaw, NC, 28173, United States",volunteer,Member,5/21/2019,4 hours per month,0 hours per month during trading hours,No Compensation Compensation,Teaching communication skills to kids and adults Admiralty Corp Admiralty Wealth Management,Is Not Investment Related,"400 E. South Main Street, Suite 2, Waxhaw, NC, 28173, United States",bookkeeping,Owner,5/16/2016,1 hours per month,0 hours per month during trading hours,No Compensation Compensation,General bookkeeping for business Admiralty Wealth Management,Is Investment Related,"400 E. South Main Street, Suite 2, Waxhaw, NC, 28173, United States",DBA,owner,2/25/2020,40 hours per month,40 hours per month during trading hours,Commission Compensation,DBA for Advisory and Insurance business
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Edwards Grimm'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
January 4, 2022 - Present
KINGSWOOD WEALTH ADVISORS, LLC
Office #1: 400 E South Main St Suite 2, Waxhaw, NC 28173RIA
CRD#: 288792
Waxhaw, NC
Current
May 19, 2023 - Present
KINGSWOOD CAPITAL PARTNERS, LLC
Office #1: 400 E South Main St Suite 2, Waxhaw, NC 28173BD
CRD#: 288898
Waxhaw, NC
Past
August 25, 2020 - January 3, 2022
BENCHMARK ADVISORY SERVICES, LLC
RIA
CRD#: 305662
Waxhaw, NC
Past
August 25, 2020 - May 19, 2023
D. BORAL CAPITAL
BD
CRD#: 103792
Waxhaw, NC
Past
January 13, 2020 - August 31, 2020
MILLENNIAL ADVISERS, LLC.
RIA
CRD#: 170847
waxhaw, NC
Past
March 9, 2018 - December 31, 2019
MILLENNIAL ADVISERS, LLC.
RIA
CRD#: 170847
Waxhaw, NC
Past
February 16, 2018 - August 25, 2020
ALLIED MILLENNIAL PARTNERS, LLC
BD
CRD#: 16569
Waxhaw, NC
Past
October 1, 2013 - March 15, 2018
LAIDLAW WEALTH MANAGEMENT LLC
RIA
CRD#: 150040
WAXHAW, NC
Past
September 25, 2013 - March 15, 2018
LAIDLAW & COMPANY (UK) LTD.
BD
CRD#: 119037
LONDON,
Past
June 5, 2012 - September 24, 2013
FIRST MIDWEST SECURITIES, INC.
RIA
CRD#: 21786
BAY SHORE, NY
Past
March 22, 2005 - September 24, 2013
FIRST MIDWEST SECURITIES, INC.
BD
CRD#: 21786
BAY SHORE, NY
Past
August 16, 2002 - April 19, 2005
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
TAMPA, FL
Past
January 9, 2002 - September 3, 2002
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
December 3, 2001 - December 17, 2001
BOLTON GLOBAL CAPITAL
BD
CRD#: 15650
BOLTON, MA
Past
April 16, 2001 - November 15, 2001
GILFORD SECURITIES INCORPORATED
BD
CRD#: 8076
NEW YORK, NY
Past
February 28, 2001 - April 18, 2001
HAPOALIM SECURITIES USA, INC.
BD
CRD#: 266
NEW YORK, NY
Past
October 25, 2000 - March 29, 2001
W.J. NOLAN & COMPANY, INC.
BD
CRD#: 16465
NEW YORK, NY
Past
October 12, 1999 - October 18, 2000
W.A. CAPITAL MARKETS
BD
CRD#: 6292
NEW YORK, NY
Past
August 28, 1998 - October 18, 1999
CAMBRIDGE CAPITAL, LLC
BD
CRD#: 41464
GARDEN CITY, NY
Past
January 20, 1998 - September 2, 1998
W.J. NOLAN & COMPANY, INC.
BD
CRD#: 16465
NEW YORK, NY
Past
September 9, 1997 - January 7, 1998
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
ATLANTA, GA
Past
April 18, 1997 - September 9, 1997
TASIN & COMPANY, INC.
BD
CRD#: 30709
HAUPPAUGE, 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".
KW
KINGSWOOD WEALTH ADVISORS, LLC
3G WEALTH | UNIVERSITY PLANNING PARTNERS | UNIVERSAL FINANCIAL CONSULTANTS | TRINITY CAPITAL MANAGEMENT | THE COLLINS GROUP | SUTTER WEALTH MANAGEMENT | STEPHENS INVESTMENTS & WEALTH MANAGEMENT SOLUTIONS | STEPHAN AND ASSOCIATES WEALTH MANAGEMENT | STEGER FINANCIAL GROUP/THE EFFICIENT EDGE | SOUTHERN EDGE WEALTH SOLUTIONS | SIMINOU WEALTH MANAGEMENT | SECURIET WEALTH | SECURIAN WEALTH | ROHR CAPITAL MANAGEMENT | REPUBLIC CAPITAL GROUP | RENAISSANCE DIGITAL INVESTMENTS | RANDIE J ENTERPRISES/RJE | PROVIDENT PLACE WEALTH ADVISORS LLC | PROSPERITY WEALTH MANAGEMENT | PHOENIX ASSET ADVISORS | PCM ASSOCIATES LTD | PARADIGM WEALTH SERVICES, INC. | LOWREY WEALTH MANAGEMENT | LOEFFLER WEALTH MANAGEMENT | LIBERTY WEALTH MANAGEMENT | LAKEVIEW ASSET MANAGEMENT | KINGSWOOD WEALTH ADVISORS, LLC | KINGSWOOD FAMILY OFFICE | JHG FINANCIAL ADVISORS | INTEGRATED FINANCIAL PLANNING CENTER | GUARDIAN | GRANITE BAY CAPITAL MANAGEMENT | GOODSON WEALTH MANAGEMENT | GLENWOOD FINANCIAL PARTNERS | FRAMEPOINT PARTNERS, LP FRAMEPOINT | FOWLER FINANCIAL GROUP LLC | FINANCIAL & RETIREMENT STRATEGIES, INC. | FERNEAU ASSET MANAGEMENT | FAISON WEALTH STRATEGY | ENDEAVOR INVESTMENT RESOURCES | ELEVATE WEALTH MANAGEMENT | DYNAMIC FINANCIAL | DEFREZE FINANCIAL SERVICES | DANNAH INVESTMENTS | COMPLETE WEALTH 360 | CHALICE WEALTH ADVISORS, LLC | CHALICE WEALTH ADVISORS | CARDINAL CAPITAL PARTNERS | BRIDGERLAND FINANCIAL ADVISORS, LLC | BRIDGERLAND FINANCIAL | BREWER WEALTH MANAGEMENT | BOND HARBOR FINANCIAL ADVISORS | BLUEPRINT WEALTH SOLUTIONS | BLUEPOINT WEALTH MANAGEMENT | BIRCHWOOOD WEALTH ADVISORS | BIANCHI FINANCIAL PARTNERS | BANNER WEALTH AND LEGACY PLANNING | APEX FINANCIAL | ANDERSON TEAM FINANCIAL | ANDERSON FINANCIAL GROUP | ADMIRALTY WEALTH MANAGEMENT
CRD#: 288792 / SEC#: 801-110755
RIA
Registered Investment Advisory firm - (7/3/2017 Approved)Arizona
Registered Investment Advisory firm - (1/31/2018 Terminated)District of Columbia
Registered Investment Advisory firm - (1/31/2018 Terminated)Maryland
Registered Investment Advisory firm - (3/2/2018 Terminated)Michigan
Registered Investment Advisory firm - (1/26/2018 Terminated)West Virginia
Registered Investment Advisory firm - (1/31/2018 Terminated)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
IAR
California(1/5/2022)
RR
Florida(5/19/2023)
IAR
Illinois(12/22/2022)
IAR
Iowa(3/30/2023)
RR
Iowa(5/19/2023)
IAR
New York(2/8/2022)
RR
New York(5/19/2023)
IAR
North Carolina(1/10/2022)
RR
North Carolina(5/19/2023)
RR
Ohio(5/19/2023)
IAR
Pennsylvania(1/5/2022)
RR
Pennsylvania(5/19/2023)
IAR
South Carolina(1/11/2022)
RR
South Carolina(5/19/2023)
IAR
Texas(1/4/2022)
RR
Texas(5/19/2023)
IAR
Virginia(1/13/2022)
RR
Virginia(5/19/2023)
IAR
Washington(1/11/2022)
RR
Washington(5/19/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KW
KINGSWOOD WEALTH ADVISORS, LLC
3G WEALTH | UNIVERSITY PLANNING PARTNERS | UNIVERSAL FINANCIAL CONSULTANTS | TRINITY CAPITAL MANAGEMENT | THE COLLINS GROUP | SUTTER WEALTH MANAGEMENT | STEPHENS INVESTMENTS & WEALTH MANAGEMENT SOLUTIONS | STEPHAN AND ASSOCIATES WEALTH MANAGEMENT | STEGER FINANCIAL GROUP/THE EFFICIENT EDGE | SOUTHERN EDGE WEALTH SOLUTIONS | SIMINOU WEALTH MANAGEMENT | SECURIET WEALTH | SECURIAN WEALTH | ROHR CAPITAL MANAGEMENT | REPUBLIC CAPITAL GROUP | RENAISSANCE DIGITAL INVESTMENTS | RANDIE J ENTERPRISES/RJE | PROVIDENT PLACE WEALTH ADVISORS LLC | PROSPERITY WEALTH MANAGEMENT | PHOENIX ASSET ADVISORS | PCM ASSOCIATES LTD | PARADIGM WEALTH SERVICES, INC. | LOWREY WEALTH MANAGEMENT | LOEFFLER WEALTH MANAGEMENT | LIBERTY WEALTH MANAGEMENT | LAKEVIEW ASSET MANAGEMENT | KINGSWOOD WEALTH ADVISORS, LLC | KINGSWOOD FAMILY OFFICE | JHG FINANCIAL ADVISORS | INTEGRATED FINANCIAL PLANNING CENTER | GUARDIAN | GRANITE BAY CAPITAL MANAGEMENT | GOODSON WEALTH MANAGEMENT | GLENWOOD FINANCIAL PARTNERS | FRAMEPOINT PARTNERS, LP FRAMEPOINT | FOWLER FINANCIAL GROUP LLC | FINANCIAL & RETIREMENT STRATEGIES, INC. | FERNEAU ASSET MANAGEMENT | FAISON WEALTH STRATEGY | ENDEAVOR INVESTMENT RESOURCES | ELEVATE WEALTH MANAGEMENT | DYNAMIC FINANCIAL | DEFREZE FINANCIAL SERVICES | DANNAH INVESTMENTS | COMPLETE WEALTH 360 | CHALICE WEALTH ADVISORS, LLC | CHALICE WEALTH ADVISORS | CARDINAL CAPITAL PARTNERS | BRIDGERLAND FINANCIAL ADVISORS, LLC | BRIDGERLAND FINANCIAL | BREWER WEALTH MANAGEMENT | BOND HARBOR FINANCIAL ADVISORS | BLUEPRINT WEALTH SOLUTIONS | BLUEPOINT WEALTH MANAGEMENT | BIRCHWOOOD WEALTH ADVISORS | BIANCHI FINANCIAL PARTNERS | BANNER WEALTH AND LEGACY PLANNING | APEX FINANCIAL | ANDERSON TEAM FINANCIAL | ANDERSON FINANCIAL GROUP | ADMIRALTY WEALTH MANAGEMENT
CRD#: 288792 / SEC#: 801-110755
RIA
Registered Investment Advisory firm - (7/3/2017 Approved)Arizona
Registered Investment Advisory firm - (1/31/2018 Terminated)District of Columbia
Registered Investment Advisory firm - (1/31/2018 Terminated)Maryland
Registered Investment Advisory firm - (3/2/2018 Terminated)Michigan
Registered Investment Advisory firm - (1/26/2018 Terminated)West Virginia
Registered Investment Advisory firm - (1/31/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11440 W. Bernardo Court Suite 300, San Diego, CA 92127
Mailing Address
126 E 56th Suite 3l, New York, NY 10022
Phone number
(800) 535-6981
Established
Firm type
Fiscal year end
# of Employees
80
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,250 |
| AUM (Assets Under Management) | $ 2,470,940,336 |
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.
