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60 Broad St. 39Th Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-07-26 |
| NJ | RA | APPROVED | 2020-03-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Shields & Company | New York | NY | 10/2001 | Present |
| Wellington Shields & Co., Llc | New York | NY | 11/2009 | Present |
CAPITAL MANAGEMENT ASSOCIATES, INC. 140 BROADWAY, NEW YORK, NY 10005 INVESTMENT RELATED NATURE OF BUSINESS:REGISTERED INVESTMENT ADVISOR TITLE: FIXED INCOME TRADER RESPONSIBILITIES: ADMINISTRATION WELLINGTON SHIELDS CAPITAL MANAGEMENT 140 BROADWAY, NEW YORK, NY 10005 INVESTMENT RELATED NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISOR TITLE: FIXED INCOME TRADER
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-02-14 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-15 |
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