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Current Employers
Wilmington Capital Securities, Llc

666 Old Country Road Suite 505, Garden City, NY 11530 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-07-18
FL RA APPROVED 2019-06-05
NJ RA APPROVED 2014-06-17
  • NY RA
    APPROVED
    Since 2021-07-18
  • FL RA
    APPROVED
    Since 2019-06-05
  • NJ RA
    APPROVED
    Since 2014-06-17

Branch Locations

666 Old Country Road Suite 505, Garden City, NY 11530 • USA

666 Old Country Road Suite 505, Garden City, NY 11530 • United States

365 Fifth Avenue South Suite 218, Naples, FL 34102 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wilmington Capital Securities, Llc Garden City NY 10/2007 Present
Wilmington Capital Securities, Llc (Ria) Garden City NY 02/2010 Present
Previous Registrations
  • 2007-03-27 → 2008-03-11
    Clark Dodge & Co., Inc.
    New York, NY
    Garden City, NY
  • 2005-11-23 → 2007-03-01
    S.W. Bach & Company
    Port Washington, NY
    Port Washington, NY
    Port Washington, NY
Other Businesses

WILMINGTON CAPITAL GROUP, 600 OLD COUNTRY ROAD GARDEN CITY NY 11530, NON-INVESTMENT RELATED, HOLDING COMPANY OF WILMINGTON CAPITAL SECURITIES LLC, CEO, FEB 2006, LESS THEN 5 HOURS PER MONTH, LESS THEN 1 HOUR PER DAY DURING MARKET HOURS, PARENT CO FOR BD FIRM. WILMINGTON CAPITAL MANAGEMENT, 600 OLD COUNTRY ROAD GARDEN CITY NY 11530, NON-INVESTMENT RELATED, INSURANCE INVESTMENT MANAGEMENT, CEO, FEB 2007, LESS THEN 5 HOURS PER MONTH, LESS THEN 1 HOUR PER DAY DURING MARKET HOURS, CORPORATION REGISTERED WITH NYS DEPARTMENT OF INSURANCE FOR LIFE INSURANCE. PATRON SILVER ROKS LLC, 5660 NE TRIESTE WAY BOCA RATON FL 33437, NON-INVESTMENT RELATED, SHORT TERM OFFICE SPACE LEASING, NO ACTIVE ROLE, MARCH 2016, ZERO HOURS PER MONTH AND PER DAY DURING MARKET HOURS. THE MERIDIAN; 1 NORTH OCEAN BOULEVARD, BOCA RATON, FL 33432; NON-INVESTMENT RELATED; CONDOMIUM; MEMBER OF BOARD OF DIRECTORS; START DATE 4/16/2024; VARIABLE HOURS PER MONTH, ZERO HOURS PER DAY DURING MARKET HOURS; 5-MEMBER BOARD TO CREATE AND ENFORCE CONDO RULES AND REGULATIONS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-01-07
S63 Uniform Securities Agent State Law Examination 1992-07-31
  • S65 Uniform Investment Adviser Law Examination
    2005-01-07
  • S63 Uniform Securities Agent State Law Examination
    1992-07-31

View on SEC IAPD

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