WILMINGTON CAPITAL SECURITIES, LLC
Adviser information for WILMINGTON CAPITAL SECURITIES, LLC last updated from Form ADV on March 12th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 6 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 16 | $147.9M |
| Non-Discretionary | 243 | $95.1M |
| Total | 259 | $243.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 179 | $36.3M |
| HNW Individuals | 36 | $198.7M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 8 | $8.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 225 |
| No. of Non-U.S. Clients | 2 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 49.3M |
| Portfolio Manager | 0 |
| Both for Same | 0 |
Identifiers
| SEC RIA File Number | 801-101483 |
|---|---|
| SEC ERA File Number | 801-101483 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 133839 |
| Legal Entity Identifier | 254900CO4441R7ZLHN85 |
Principal Office
600 OLD COUNTRY ROADSUITE 200
GARDEN CITY
NY
United States
Monday - Friday, 9:00AM-4:30PM
Tel: 516-750-6200, Fax: 516-750-6245
Websites
Chief Compliance Officer
DENNIS LEE
CCO
600 OLD COUNTRY ROAD
SUITE 200
GARDEN CITY
NY
United States
Tel:
516-750-6200
Fax:
516-750-6245
D***@****************M
(Full email address available in API data)
Regulatory Contact
RONALD DORUSHKIN
COMPLIANCE OFFICER
600 OLD COUNTRY ROAD
SUITE 200
GARDEN CITY
NY
United States
Tel:
(516) 750-6200
Fax:
516-750-6245
R*********@****************M
(Full email address available in API data)
Industry Affiliates
| WILMINGTON CAPITAL SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DORUSHKIN, RONALD BRETT | Individual | – | CEO OF BROKER DEALER, GENERAL PRINCIPAL, ELECTED MANAGER | 10/2007 | < 5% |
| MIKES, JOHN | Individual | – | PRESIDENT OF BROKER DEALER, GENERAL SECURITIES PRINCIPAL, ELECTED MANAGER,OSJ SUPERVISOR | 10/2007 | < 5% |
| COLUMBO, JOSEPH DONALD | Individual | – | CHAIRMAN OF BROKER DEALER, GENERAL PRINCIPAL, GOVERNMENT SECURITIES PRINCIPAL, MSRB PRINCIPAL, ELECTED MANAGER | 05/2008 | < 5% |
| WILMINGTON CAPITAL GROUP, INC. | Domestic Entity | – | PARENT COMPANY | 10/2007 | > 75% |
| COLUMBO, JOSEPH DONALD | Individual | WILMINGTON CAPITAL GROUP, INC. | CHAIRMAN OF BROKER DEALER, MANAGING MEMBER | 10/2007 | 25-50% |
| DORUSHKIN, RONALD BRETT | Individual | WILMINGTON CAPITAL GROUP, INC. | CEO OF BROKER DEALER AND INVESTMENT ADVISOR, MANAGING MEMBER | 10/2007 | 25-50% |
| MIKES, JOHN | Individual | WILMINGTON CAPITAL GROUP, INC. | PRESIDENT OF BROKER DEALER, MANAGING MEMBER | 10/2007 | 25-50% |
| LEE, DENNIS PETER | Individual | – | CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER OF BROKER DEALER AND INVESTMENT ADVISOR, REGISTERED OPTIONS PRINCIPAL | 01/2018 | < 5% |
| STOUBER, RANDY MARC | Individual | – | FINOP, PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 06/2019 | < 5% |