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Current Employers
Wainwright Investment Counsel Llc

One Boston Place 29Th Floor, Boston, MA 02108 • United States

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2024-02-28
CO RA APPROVED 2019-06-03
MA RA APPROVED 2001-02-28
  • RI RA
    APPROVED
    Since 2024-02-28
  • CO RA
    APPROVED
    Since 2019-06-03
  • MA RA
    APPROVED
    Since 2001-02-28

Branch Locations

One Boston Place 41St Floor, Boston, MA 02108 • 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
OrganizationCityStateFromTo
Wainwright Investment Counsel, Llc Boston MA 04/1999 Present
Wfs, Llc Boston MA 07/2002 Present
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-04-15
S63 Uniform Securities Agent State Law Examination 1996-03-26
  • S65 Uniform Investment Adviser Law Examination
    1996-04-15
  • S63 Uniform Securities Agent State Law Examination
    1996-03-26

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