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Geza John Marx

Wellington Shields Capital Management, LLC

New York, NY

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Current Employers
Wellington Shields Capital Management, Llc

60 Broad St. 39Th Floor, New York, NY 10004 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-09-09
  • NY RA
    APPROVED
    Since 2021-09-09

Branch Locations

60 Broad St. 39Th Floor, New York, NY 10004 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Marlcroft Asset Management Llc New York NY 09/1997 10/2020
Wellington Shields Capital Management New York NY 10/2020 Present
  • 09/1997 → 10/2020
    Marlcroft Asset Management Llc
    New York, NY
  • 10/2020 → Present
    Wellington Shields Capital Management
    New York, NY
Previous Registrations
  • 2012-07-19 → 2014-12-31
    Marlcroft Asset Management Llc
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-11-22
  • S65 Uniform Investment Adviser Law Examination
    1994-11-22
Other Names
  • John Marx Geza

View on SEC IAPD

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