Thomas Edwards Grimm
Investment Adviser Representative at Kingswood Wealth Advisors, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Thomas Edwards Grimm is an investment adviser representative with Kingswood Wealth Advisors, LLC in Waxhaw, NC, where they have been registered since 2022. They have worked in the securities industry since 1997 and have been registered with 5 firms, including Benchmark Advisory Services, LLC and Millennial Advisers, LLC. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in 10 states.
Registrations & licenses
- Investment adviser:
- California, Illinois, Iowa, New York, North Carolina, Pennsylvania, South Carolina, Texas, Virginia, Washington
- Broker:
11 states and territories
Colorado, Florida, Iowa, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Virginia, Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Laidlaw AND CompanySep 2013 – Feb 2018New York, NY
- Allied Millennial PartnersFeb 2018 – Aug 2020New York, NY
- Millennial Advisers, LLCMar 2018 – Aug 2020New York, NY
- Benchmark Investments, IncAug 2020 – May 2023Stockbridge, GA
- Benchmark Advisory Services, LLCAug 2020 – Jan 2022Stockbridge, GA
- Kingswood Wealth Advisors LLCJan 2022 – no end date reportedStockbridge, GA
- Kingswood Capital Partners, LLCMay 2023 – no end date reportedWaxhaw, NC
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Kingswood Wealth Advisors, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Firm account minimum
- $100,000 (waivable)
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 120
- Offices listed on AdvisorFinder:
- 44
- Main office:
- San Diego, CA
- SEC file number:
- 801-110755
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 22, 2026
View full firm profileOther advisors at Kingswood Wealth Advisors, LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Thomas Edwards Grimm has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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