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60 Broad St. 39Th Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-09 |
| VA | RA | APPROVED | 2014-07-02 |
| MA | RA | APPROVED | 2010-03-29 |
Branch Locations
60 Broad Street 39Th Floor, New York, NY 10004 • USA
60 Broad Street, 39Th Floor, New York, NY 10004 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| H.G. Wellington & Co Inc | New York | NY | 11/2005 | Present |
| Wellington Shields & Co., Llc | New York | NY | 11/2009 | Present |
NAME OF BUSINESS: WELLINGTON SHIELDS CAPITAL MANAGEMENT 140 BROADWAY, NEW YORK, NY 10005 DESCRIPTION OF DUTIES: INVESTMENT COMMITTEE MEMBER, RESEARCH ANALYST AND PORTFOLIO MANAGER NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISOR INVESTMENT RELATED: YES COMPENSATED: YES TIME DEVOTED PER MONTH: 160 HRS. START DATE: 7/1/10 Capital Management Associates, Inc. 140 Broadway, New York, NY 10005 Investment related business: Registered Investment Advisor to Capital Management Investment Trust Responsibilities: security analysis and portfolio management. Time Devoted Per Week: 10 hours Start Date 1/1/2018
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-01-30 |
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