DR
Donald O. Ross
WAINWRIGHT INVESTMENT COUNSEL LLC
BOSTON, MA 02108
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CRD#: 404978
DR
Professional summary
Donald Ogden Ross is a registered financial advisor currently at WAINWRIGHT INVESTMENT COUNSEL LLC located in Boston, Massachusetts and WFS, LLC located in Boston, Massachusetts.
Donald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Donald has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1 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.
MR. ROSS IS EMPLOYED BY WAINWRIGHT INVESTMENT COUNSEL, LLC ("WAINWRIGHT"), AN SEC REGISTERED INVESTMENT ADVISOR, AND CURRENTLY HOLDS THE POSITION OF MANAGING DIRECTOR. HE IS REGISTERED WITH WFS, LLC WHOSE BUSINESS IS CURRENTLY LIMITED TO ENGAGING IN THE FACILITATION OF PRIVATE PLACEMENT TRANSACTIONS. WFS, LLC IS A WHOLLY OWNED SUBSIDIARY OF WAINWRIGHT ALSO LOCATED AT ONE BOSTON PLACE, BOSTON, MA 02108. THE MAJORITY OF HIS WORKING HOURS ARE SPENT ON WAINWRIGHT BUSINESS. MR. ROSS ALSO MAINTAINS OUTSIDE BUSINESS WITH VARIOUS ORGANIZATIONS, ALL OF WHICH ARE PERFORMED OUTSIDE OF MARKET HOURS. THESE INCLUDE A CHAIRMAN POSITION WITH STUART LAND & CATTLE CO OF VIRGINIA, WHICH IS A CLIENT OF WAINWRIGHT, AND FOR WHICH MR. ROSS IS PAID AN ANNUAL DIRECTOR FEE. HE IS TRUSTEE EMERITUS AND FORMER CHAIRMAN OF THE BOARD OF TRUSTEES OF THE NEWPORT PRESERVATION SOCIETY, RI, AND IS CHAIRMAN OF THEIR INVESTMENT COMMITTEE. MR. ROSS SERVES AS TRUSTEE/CO-TRUSTEE FOR FIVE TRUSTS, WHICH ARE CLIENTS OF WAINWRIGHT, ALL OF WHICH STEM FROM PERSONAL RELATIONSHIPS. MR. ROSS IS PAID AN ANNUAL TRUSTEE/CO-TRUSTEE FEE FOR THREE APPOINTMENTS AND TWO APPOINTMENTS ARE UNPAID.
CRS (Client Relationship Summary) - RIA
Click below to view Donald Ogden Ross'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
February 28, 2001 - Present
WAINWRIGHT INVESTMENT COUNSEL LLC
Office #1: One Boston Place 41st Floor, Boston, MA 02108RIA
CRD#: 108711
BOSTON, MA
Current
July 23, 2002 - Present
WFS, LLC
Office #1: One Boston Place, Boston, MA 02108Office #2: One Boston Place, Boston, MA 02108BD
CRD#: 116778
BOSTON, MA
Past
February 27, 1996 - August 22, 2002
H.C.WAINWRIGHT & CO., LLC
BD
CRD#: 375
NEW YORK, NY
Past
October 8, 1992 - March 1, 1995
FIS SECURITIES, INC.
BD
CRD#: 30533
BOSTON, MA
Past
July 27, 1981 - November 8, 1990
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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".
WI
WAINWRIGHT INVESTMENT COUNSEL LLC
WAINWRIGHT INVESTMENT COUNSEL LLC
CRD#: 108711 / SEC#: 801-56485
RIA
Registered Investment Advisory firm - (6/18/1999 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
IAR
Colorado(6/3/2019)
RR
Florida(3/25/2019)
IAR
Massachusetts(2/28/2001)
RR
Massachusetts(7/23/2002)
RR
Rhode Island(7/23/2002)
IAR
Rhode Island(2/28/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/25/1971
Registered Representative ExaminationPrincipal/Supervisory Exam
RR
Series 40
Date: 7/24/1978
Registered Principal ExaminationSRO Registrations
RR
FINRA
Current Firm
WI
WAINWRIGHT INVESTMENT COUNSEL LLC
WAINWRIGHT INVESTMENT COUNSEL LLC
CRD#: 108711 / SEC#: 801-56485
RIA
Registered Investment Advisory firm - (6/18/1999 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
One Boston Place 29th Floor, Boston, MA 02108
Mailing Address
Phone number
(617) 531-3100
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 207 |
| AUM (Assets Under Management) | $ 5,548,153,000 |
Red Flags
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Company Information
WAINWRIGHT INVESTMENT COUNSEL LLC
CRD#: 108711Boston, MA 02108TRUST BUT VERIFY
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