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One Boston Place 29Th Floor, Boston, MA 02108 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| RI | RA | APPROVED | 2024-02-28 |
| CO | RA | APPROVED | 2019-06-03 |
| MA | RA | APPROVED | 2001-02-28 |
Branch Locations
One Boston Place 41St Floor, Boston, MA 02108 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wainwright Investment Counsel, Llc | Boston | MA | 04/1999 | Present |
| Wfs, Llc | Boston | MA | 07/2002 | Present |
MR. ROSS IS EMPLOYED BY WAINWRIGHT INVESTMENT COUNSEL, LLC ("WAINWRIGHT"), AN SEC REGISTERED INVESTMENT ADVISOR, AND CURRENTLY HOLDS THE POSITION OF MANAGING DIRECTOR. HE IS REGISTERED WITH WFS, LLC WHOSE BUSINESS IS CURRENTLY LIMITED TO ENGAGING IN THE FACILITATION OF PRIVATE PLACEMENT TRANSACTIONS. WFS, LLC IS A WHOLLY OWNED SUBSIDIARY OF WAINWRIGHT ALSO LOCATED AT ONE BOSTON PLACE, BOSTON, MA 02108. THE MAJORITY OF HIS WORKING HOURS ARE SPENT ON WAINWRIGHT BUSINESS. MR. ROSS ALSO MAINTAINS OUTSIDE BUSINESS WITH VARIOUS ORGANIZATIONS, ALL OF WHICH ARE PERFORMED OUTSIDE OF MARKET HOURS. THESE INCLUDE A CHAIRMAN POSITION WITH STUART LAND & CATTLE CO OF VIRGINIA, WHICH IS A CLIENT OF WAINWRIGHT, AND FOR WHICH MR. ROSS IS PAID AN ANNUAL DIRECTOR FEE. HE IS TRUSTEE EMERITUS AND FORMER CHAIRMAN OF THE BOARD OF TRUSTEES OF THE NEWPORT PRESERVATION SOCIETY, RI, AND IS CHAIRMAN OF THEIR INVESTMENT COMMITTEE. MR. ROSS SERVES AS TRUSTEE/CO-TRUSTEE FOR FIVE TRUSTS, WHICH ARE CLIENTS OF WAINWRIGHT, ALL OF WHICH STEM FROM PERSONAL RELATIONSHIPS. MR. ROSS IS PAID AN ANNUAL TRUSTEE/CO-TRUSTEE FEE FOR THREE APPOINTMENTS AND TWO APPOINTMENTS ARE UNPAID.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-04-15 |
| S63 | Uniform Securities Agent State Law Examination | 1996-03-26 |
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