Thomas Grant
Thomas Grant is a registered investment advisor at Wellington Shields Capital Management, LLC, based in New York, NY, with 57 years of industry experience. Thomas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management. Their firm serves 574 clients with $1.2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.50% |
Rates range from 0.20% to 1.50% for equity and balanced portfolios, and 0.20% to 0.75% for fixed income portfolios. Fees are negotiable.
Fee Estimator
Location
60 Broad St., 39th Floor, New York, NY, 10004
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Thomas is a Managing Director at Wellington Shields Capital Management, a registered investment advisor, responsible for day-to-day operations. This activity takes about 10-20% of Thomas's time.
Employment History
Current Registrations
Wellington Shields Capital Management, LLC
Wellington Shields & CO., LLCBroker
Previous Registrations
H. G. Wellington & CO., INC.Broker
Fahnestock & CO., INC.Broker
Fahnestock International INC.Broker
State Registrations27 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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