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60 Broad Street 39Th Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-18 |
Branch Locations
60 Broad Street 39Th Floor, New York, NY 10004 • United States
60 Broad St. 39Th Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-18 |
Branch Locations
60 Broad St. 39Th Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Shields And Company | New York | NY | 02/2006 | Present |
| Wellington Shields & Co., Llc | New York | NY | 11/2009 | Present |
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
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-12-22 |
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