Thomas Grimm is a registered investment advisor, based in Waxhaw, NC, with 28 years of industry experience.
Location
400 E South Main St, Suite 2, Waxhaw, NC, 28173
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Regulatory History (3)
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Regulatory
February 2006Final
Regulatory
December 2005Final
Customer Dispute
May 2005Closed-No Action
Other Business ActivitiesSells Insurance
Thomas owns Admiralty Wealth Management, a DBA for advisory, brokerage, and insurance business, dedicating about a quarter of his time. He also owns The Admiralty Corp. for bookkeeping and is president of Toastmasters & Youth Leadership Program, spending minimal time on each.
Employment History
Current Registrations
Kingswood Capital Partners, LLCBroker
May 2023 - Present · 3 yrs
Kingswood Wealth Advisors, LLC
January 2022 - Present · 4 yrs 4 mos
Previous Registrations
Benchmark Investments, LLCBroker
August 2020 - May 2023 · 2 yrs 9 mos
Benchmark Advisory Services, LLC
August 2020 - January 2022 · 1 yr 5 mos
Millennial Advisers, LLC.
January 2020 - August 2020 · 7 mos
Millennial Advisers, LLC.
March 2018 - December 2019 · 1 yr 9 mos
Allied Millennial Partners, LLCBroker
February 2018 - August 2020 · 2 yrs 6 mos
Laidlaw Asset Management, LLC.
October 2013 - March 2018 · 4 yrs 5 mos
Laidlaw & Company (UK) LTD.Broker
September 2013 - March 2018 · 4 yrs 6 mos
Fmsi Advisers
June 2012 - September 2013 · 1 yr 3 mos
First Midwest Securities, INC.Broker
March 2005 - September 2013 · 8 yrs 6 mos
Gunnallen Financial, INCBroker
August 2002 - April 2005 · 2 yrs 8 mos
National Securities CorporationBroker
January 2002 - September 2002 · 8 mos
Delta Equity Services CorporationBroker
December 2001 - December 2001 · 0 mos
Gilford Securities IncorporatedBroker
April 2001 - November 2001 · 7 mos
Investec Ernst & CompanyBroker
February 2001 - April 2001 · 2 mos
W.J. Nolan & Company, INC.Broker
October 2000 - March 2001 · 5 mos
Murphy & DurieuBroker
October 1999 - October 2000 · 1 yr
Cambridge Capital, LLCBroker
August 1998 - October 1999 · 1 yr 2 mos
W.J. Nolan & Company, INC.Broker
January 1998 - September 1998 · 8 mos
J.P. Turner & Company, L.L.C.Broker
September 1997 - January 1998 · 4 mos
Tasin & Company, INC.Broker
April 1997 - September 1997 · 5 mos
State Registrations13 states
CACOFLIAILNCNYOHPASCTXVAWA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.