CB
Curtis O. Baclawski
WILMINGTON CAPITAL SECURITIES
Waxhaw, NC
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CRD#: 3160258
CB
Professional summary
Curtis Owen Baclawski, who also goes by Curt Baclawski, is a registered financial professional currently at WILMINGTON CAPITAL SECURITIES, LLC located in Waxhaw, North Carolina.
Curtis is registered as a RR (Registered Representative) and started their career in finance in 1998. Curtis has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Curt Baclawski
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) - BD
Click below to view Curtis Owen Baclawski'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 15, 2013 - Present
WILMINGTON CAPITAL SECURITIES, LLC
RIA
BD
CRD#: 133839
Waxhaw, NC
Past
April 1, 2013 - August 16, 2013
BSG MARKETS LLC
BD
CRD#: 127137
NEW YORK, NY
Past
March 22, 2002 - February 20, 2013
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
BD
CRD#: 6950
CHARLOTTE, NC
Past
November 7, 2001 - January 25, 2002
R.W. SMITH & ASSOCIATES, LLC
BD
CRD#: 16605
JERSEY CITY, NJ
Past
June 25, 2001 - March 28, 2002
MILLER JOHNSON STEICHEN KINNARD, INC.
BD
CRD#: 694
MINNEAPOLIS, MN
Past
February 9, 2000 - June 4, 2001
HARRISDIRECT LLC
BD
CRD#: 42159
JERSEY CITY, NJ
Past
April 2, 1999 - December 2, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
December 24, 1998 - February 4, 1999
SOUTHEAST INVESTMENTS, N.C., INC.
BD
CRD#: 43035
CHARLOTTE, NC
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".
WC
WILMINGTON CAPITAL SECURITIES, LLC
ALLELE CAPITAL PARTNERS | WILMINGTON CAPITAL SECURITIES, LLC | LIBERTY CROSSING CAPITAL MARKETS, LLC | GHS CAPITAL MANAGEMENT, LLC | FOREFRONT WEALTH MANAGEMENT | DAVID E. ASTORR, INC. | DAVID E. ASTORR INC. | CLARK CAPITAL
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)BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Connecticut(5/26/2023)
RR
Florida(3/12/2020)
RR
New York(8/15/2013)
RR
North Carolina(8/20/2013)
RR
South Carolina(6/29/2021)
RR
Virginia(8/1/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WC
WILMINGTON CAPITAL SECURITIES, LLC
ALLELE CAPITAL PARTNERS | WILMINGTON CAPITAL SECURITIES, LLC | LIBERTY CROSSING CAPITAL MARKETS, LLC | GHS CAPITAL MANAGEMENT, LLC | FOREFRONT WEALTH MANAGEMENT | DAVID E. ASTORR, INC. | DAVID E. ASTORR INC. | CLARK CAPITAL
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)BD
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
6
SEC notice filing (7 States and Territories)
FINRA licenses (49 States and Territories)
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 | 2 |
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.
