TM
Thomas G. Maclennan
WMS ADVISORS
Charlotte, NC 28210
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CRD#: 5364195
TM
Professional summary
Thomas Gaines Maclennan, CFP®, who also goes by Tom Maclennan Jr., Tom Maclennan, is a registered financial advisor currently at WMS ADVISORS, LLC located in Charlotte, North Carolina and PURSHE KAPLAN STERLING INVESTMENTS located in Charlotte, North Carolina.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Thomas has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Maclennan Jr. | Tom Maclennan
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. WMS Advisors, LLC. Investment Related. At Registered Location. RIA. IAR. Partner and Chief Compliance Officer. 12/2010.160. 30, Management and Financial Advising. 2. Fixed Insurance. Investment Related. At Registered Location. Insurance. Agent. 04/2024. 6. 6. Insurance sales. 3. TGM Capital, LLC. Investment Related. At Registered Location; Holding Company; Owner; 01/2022; 8; 4; Holding and operating company for interest in WMS Advisors, LLC. 4. PKSF. Not Investment Related. At the registered location. Fixed/Traditional Insurance; Agent; 11/2024; 1; 1; Sales of fixed/traditional insurance products. 5. Charlotte Bilingual Preschool; Not Investment Related. 6300 Highland Avenue Charlotte, NC 28215; Non-profit; Board and Finance Committee Member; 01/2021; 5; 8; consulting and advising the CEO, Treasurer, and other non-profit leaders.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Gaines Maclennan'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®
CFP®
Start date: 2017
Experience
Current
November 28, 2012 - Present
WMS ADVISORS, LLC
Office #1: 6135 Park South Drive Suite 510, Charlotte, NC 28210RIA
CRD#: 122224
Charlotte, NC
Current
January 2, 2025 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 6135 Park South Drive Suite 510, Charlotte, NC 28210BD
CRD#: 35747
Charlotte, NC
Past
December 19, 2011 - December 31, 2024
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
North Bethesda, MD
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".
WA
WMS ADVISORS, LLC
PASCHALL AND ASSOCIATES | WMS ADVISORS, LLC | WILLIAMS, DAVID ROBERT | WILLIAMS ASSOCIATES CPA'S | WILLIAMS ASSOCIATES
CRD#: 122224 / SEC#: 801-109946
RIA
Registered Investment Advisory firm - (2/7/2017 Approved)Florida
Registered Investment Advisory firm - (3/1/2017 Terminated)Maryland
Registered Investment Advisory firm - (3/10/2017 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
RR
California(10/20/2025)
RR
Delaware(1/2/2025)
RR
District of Columbia(2/18/2025)
RR
Florida(1/2/2025)
RR
Georgia(1/2/2025)
RR
Hawaii(1/2/2025)
IAR
Maryland(11/28/2012)
RR
Maryland(1/2/2025)
IAR
North Carolina(1/25/2019)
RR
North Carolina(1/2/2025)
RR
South Carolina(1/2/2025)
RR
Virginia(1/2/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WA
WMS ADVISORS, LLC
PASCHALL AND ASSOCIATES | WMS ADVISORS, LLC | WILLIAMS, DAVID ROBERT | WILLIAMS ASSOCIATES CPA'S | WILLIAMS ASSOCIATES
CRD#: 122224 / SEC#: 801-109946
RIA
Registered Investment Advisory firm - (2/7/2017 Approved)Florida
Registered Investment Advisory firm - (3/1/2017 Terminated)Maryland
Registered Investment Advisory firm - (3/10/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6135 Park South Drive Suite 510, Charlotte, NC 28210
Mailing Address
Phone number
(301) 294-7804
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 372 |
| AUM (Assets Under Management) | $ 221,375,131 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
