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Managing Member & Chief Compliance Officer · WMS Advisors, LLC

Thomas G. Maclennan

CRD 5364195 · Named on Form ADV at one SEC-registered adviser

At a glance

WMS Advisors, LLC, an SEC-registered wealth manager based in Charlotte, NC with $281 million in regulatory assets, lists Thomas G. Maclennan on its Form ADV as Managing Member & Chief Compliance Officer, a control person.

Firms and roles

  • WMS Advisors, LLCManaging Member & Chief Compliance OfficerWealth manager · Charlotte, NC · $281M in regulatory assets

AtlasMembers

Thomas’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Thomas’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.