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Donald E Chappell

Wellington Shields & Co., LLC

New York, NY

CRD 5631603

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Employer firm

Wellington Shields & Co., LLC CRD 149021

$546M regulatory AUM

Reported services (Item 5G)

  • Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers
Wellington Shields & Co., Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-09-10
  • NY RA
    APPROVED
    Since 2021-09-10

Branch Locations

60 Broad St. 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
Wellington Shields & Co. New York NY 01/2009 Present
  • 01/2009 → Present
    Wellington Shields & Co.
    New York, NY

View on SEC IAPD

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