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60 Broad St. 39Th Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-30 |
Branch Locations
60 Broad Street, 39Th Floor, New York, NY 10004 • United States
140 North Broad Street, Thomasville, GA 31792 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wellington Shields & Co. Llc | New York | NY | 03/2011 | Present |
WELLINGTON SHIELDS CAPITAL MANAGEMENT 60 Broad St, 39th Fl NEW YORK, NY 10004 INVESTMENT RELATED REGISTERED INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER 5+ HOURS PER MONTH CAPITAL MANAGEMENT INVESTMENT TRUST, INVESTMENT RELATED. 60 BROAD St, 39TH FLOOR, NY, NY 10004. MUTUAL FUND TRUST, POSITION OF CCO, APPOINTED MAY 2014. APPROXIMATELY 10 HOURS PER MONTH, HALF DURING SECURITIES TRADING HOURS. OVERSEE COMPLIANCE EFFORT OF ENTITY. CAPITAL MANAGEMENT ASSOCIATES INVESTMENT RELATED 60 BROAD, 39TH FLOOR NEW YORK, NY 10004 REGISTERED INVESTMENT ADVISOR TITLE: CHIEF COMPLIANCE OFFICER ADVISER IS AFFILIATE OF BROKER DEALER START DATE MARCH 2013 5+ HOURS PER MONTH
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1994-08-04 |
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