WILMINGTON CAPITAL SECURITIES, LLC of GARDEN CITY, NY is an SEC-registered investment adviser (CRD 133839). Regulatory assets under management: $277.1M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Ronald Brett Dorushkin | CEO OF BROKER DEALER AND INVESTMENT ADVISOR, MANAGING MEMBER; CEO OF BROKER DEALER, GENERAL PRINCIPAL, ELECTED MANAGER | — |
| John Mikes | PRESIDENT OF BROKER DEALER, GENERAL SECURITIES PRINCIPAL, ELECTED MANAGER,OSJ SUPERVISOR; PRESIDENT OF BROKER DEALER, MANAGING MEMBER | — |
| Joseph Donald Columbo | CHAIRMAN OF BROKER DEALER, GENERAL PRINCIPAL, GOVERNMENT SECURITIES PRINCIPAL, MSRB PRINCIPAL, ELECTED MANAGER; CHAIRMAN OF BROKER DEALER, MANAGING MEMBER | — |
| Dennis Peter Lee | CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER OF BROKER DEALER AND INVESTMENT ADVISOR, REGISTERED OPTIONS PRINCIPAL | — |
| Greg Todd Vittor | FINOP, PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | — |
| Randy Marc Stouber | FINOP, PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | — |
| MAGUIRE MICHAEL JOHN | CHIEF COMPLIANCE AND AML COMPLIANCE OFFICER OF BROKER DEALER | — |
| DAVIS LYN ADELE | BRANCH OFFICE MANAGER, GENERAL SECURITIES PRINCIPAL | — |
| DORUSHKIN RONALD BRETT | CEO OF BROKER DEALER AND INVESTMENT ADVISOR, MANAGING MEMBER; CEO OF BROKER DEALER, CEO AND CCO OF INVESTMENT ADVISOR, MANAGING MEMBER; CEO OF BROKER DEALER, GENERAL PRINCIPAL, ELECTED MANAGER (+1 more) | — |
| MIKES JOHN | PRESIDENT OF BROKER DEALER, GENERAL SECURITIES PRINCIPAL, ELECTED MANAGER,OSJ SUPERVISOR; PRESIDENT OF BROKER DEALER, MANAGING MEMBER | — |
| COLUMBO JOSEPH DONALD | CHAIRMAN OF BROKER DEALER, GENERAL PRINCIPAL, GOVERNMENT SECURITIES PRINCIPAL, MSRB PRINCIPAL, ELECTED MANAGER; CHAIRMAN OF BROKER DEALER, MANAGING MEMBER | — |
| CALAMUNCI ROBERT JOSEPH SR | FINOP AND ROP; REGISTERED OPTIONS PRINCIPAL | — |
| LEE DENNIS PETER | CHIEF COMPLIANCE AND AML COMPLIANCE OFFICER OF BROKER DEALER; CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER OF BROKER DEALER AND INVESTMENT ADVISOR; CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER OF BROKER DEALER AND INVESTMENT ADVISOR, REGISTERED OPTIONS PRINCIPAL | — |
| STOUBER RANDY MARC | FINOP, PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-10-03 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, BARNES CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT HE EXERCISED DISCRETION IN TRANSACTIONSIN CUSTOMER ACCOUNTS WITHOUT THE CUSTOMERS' WRITTEN AUTHORIZATION AND WITHOUT HIS MEMBER FIRM HAVING ACCEPTED THE ACCOUNTS AS DISCRETIONARY. THEFINDIN… | Final | $5K |
| 2020-08-25 | regulatory | ON AUGUST 25, 2020, THE BANKING COMMISSIONER ENTERED A CONSENT ORDER (NO. CO-20-202-91-S) WITH RESPECT TO WILMINGTON CAPITAL SECURITIES, LLC, A CONNECTICUT-REGISTERED BROKER-DEALER. THE CONSENT ORDER ALLEGED THAT THE FIRM ENGAGED IN DISHONEST OR UNETHICAL BUSINESS PRACTICES WITHIN THE MEANING OF SEC… | Final | $10K |
| — | regulatory | — | — | — |
| City | State | Employees | Phone |
|---|---|---|---|
| EAST HAMPTON | NY | 1 | 631-324-5206 |
| NEW YORK | NY | 1 | 212-607-2464 |
| NAPLES | FL | 1 | 239-920-4285 |