Unclaimed Profile

Thomas Herbert Wingo

QUEEN CITY CAPITAL MANAGEMENT, LLC·CINCINNATI, Ohio

SIE, Series 7, Series 63CFP24 years registeredQUEEN CITY CAPITAL MANAGEMENT, LLC

212 EAST THIRD STREET, CINCINNATI, OH 45202CRD# 1339692Firm CRD# 162785

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Thomas Herbert Wingo · CINCINNATI, OH

Registration

CRD #1339692 · QUEEN CITY CAPITAL MANAGEMENT, LLC · 24 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: QUEEN CITY CAPITAL MANAGEMENT, LLC

SECURITIES AMERICA ADVISORS, INC.

Jan 2009 – Apr 2024

CINCINNATI, OH

BRECEK & YOUNG ADVISORS, INC.

Oct 2001 – Feb 2009

CINCINNATI, OH

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 63

Registration record

First registered · October 10, 2001

Years registered · 24

Professional designation · CFP

Disclosure History

1975Criminal·Final Disposition

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

QUEEN CITY CAPITAL MANAGEMENT, LLC

CRD 162785 · SEC 801-76921

AUM

$100M

Regulatory assets under management

Employees

280 client accounts

Services offered by QUEEN CITY CAPITAL MANAGEMENT, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Market timing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at QUEEN CITY CAPITAL MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does Thomas Herbert Wingo offer?

Thomas Herbert Wingo specializes in Financial Planning, Investment Management, Wealth Management.

What are Thomas Herbert Wingo's credentials?

Thomas Herbert Wingo holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Thomas Herbert Wingo located?

Thomas Herbert Wingo is based in CINCINNATI, Ohio, last registered with QUEEN CITY CAPITAL MANAGEMENT, LLC.

How does Thomas Herbert Wingo charge for services?

Thomas Herbert Wingo's firm is compensated through percentage of aum, hourly charges, subscription fees, other: sub adviser fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is QUEEN CITY CAPITAL MANAGEMENT, LLC?

QUEEN CITY CAPITAL MANAGEMENT, LLC has approximately 3 employees and manages $100M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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