Thomas Waters Grant

Current Employers

Wellington Shields Capital Management, Llc

60 Broad St. 39Th Floor, New York, NY 10004 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-08-24

NY RA
APPROVED

Since 2021-08-24

Branch Locations

60 Broad St. 39Th Floor, New York, NY 10004 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
H. G. Wellington & Co., Inc.	New York	NY	05/1991	Present
Wellington Shields & Co., Llc	New York	NY	02/2009	Present
Wellington Shields Capital Managment	New York	NY	12/2009	Present

05/1991 → Present

H. G. Wellington & Co., Inc.

New York, NY
02/2009 → Present

Wellington Shields & Co., Llc

New York, NY
12/2009 → Present

Wellington Shields Capital Managment

New York, NY

Other Businesses

WELLINGTON SHIELDS CAPITAL MANAGEMENT 140 BROADWAY, NEW YORK, NY 10005 POSITION: MANAGING DIRECTOR REGISTERED INVESTMENT ADVISOR INVESTMENT RELATED: YES RESPONSIBLE FOR DAY TO DAY OPERATIONS TIME DEVOTED: OVER 20 HRS PER MONTH

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1991-08-28

S63 Uniform Securities Agent State Law Examination

1991-08-28

View on SEC IAPD

Current Employers

Wellington Shields Capital Management, Llc

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

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