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Current Employers
Capital Management Associates Inc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-18
  • NY RA
    APPROVED
    Since 2021-08-18

Branch Locations

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

Wellington Shields Capital Management, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-18
  • NY RA
    APPROVED
    Since 2021-08-18

Branch Locations

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

Wellington Shields & Co., Llc

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2010-08-31
  • VA RA
    APPROVED
    Since 2010-08-31

Branch Locations

60 Broad Street 39Th Floor, New York, NY 10004 • USA

60 Broad Street, 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
Shields And Company New York NY 02/2006 Present
Wellington Shields & Co., Llc New York NY 11/2009 Present
Other Businesses

CAPITAL MANAGEMENT ASSOCIATES, INC. 60 BROAD ST, 39th Fl, NEW YORK, NY 10004 INVESTMENT RELATED NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISOR AND INVESTMENT ADVISOR TO THE CMIT TITLE: PORTFOLIO MANAGEMENT RESPONSIBILITIES: SECURITY ANALYSIS TIME DEVOTED PER WEEK: 50 HOURS WELLINGTON SHIELDS CAPITAL MANAGEMENT 60 BROAD ST, 39th FL, NEW YORK, NY 10004 INVESTMENT RELATED NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISOR TITLE: MANAGING DIRECTOR AND INVESTMENT COMMITTEE MEMBER RESPONSIBILITIES: DAY TO DAY OPERATIONS OF FIRM, SECURITY ANALYSIS TIME DEVOTED PER WEEK: 40 CAPITAL MANAGEMENT INVESTMENT TRUST 60 BROAD ST 39TH FLOOR NEW YORK, NY 10004 INVESTMENT RELATED BUSINESS TRUST, RIC. ONE MUTUAL FUND OFFERING. POSITION: PRESIDENT AND CEO. AFFILIATE OF WELLINGTON SHIELDS. TIME DEVOTED PER WEEK: 5 HOURS START DATE: 2016 MCFADDEN FARM NOT INVESTMENT RELATED 16000 POWERHOUSE POTTER VALLEY, CA BUSINESS: VINEYARD, ORGANIC FOODS AND PLANTS POSITION: CONSULTANT. FARM IS OWNED BY FAMILY. NATURE OF BUSINESS IS CONSULTING WITH MANAGEMENT AND VENDORS. START DATE JUNE 2019. TIME DEVOTED APPROXIMATELY 8 HOURS PER MONTH. FLOWERS FOODS, INC. 1919 FLOWERS CIRCLE THOMASVILLE, GA 31757 NOT INVESTMENT RELATED BUSINESS: PACKAGED BAKERY PRODUCTS POSITION: DIRECTOR. NATURE OF BUSINESS IS CONSULTING ON MARKETING AND FINANCIAL ISSUES. START DATE: 1/4/2021. TIME DEVOTED IS APPROXIMATELY 3 HOURS PER WEEK

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-12-22
  • S66 Uniform Combined State Law Examination
    2009-12-22

View on SEC IAPD

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