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Charles Richard Thompson

Wellington Shields & Co., LLC

New York, NY

Dorset, VT

Dorset, VT

Wellington Shields Capital Management, LLC

New York, NY

Dorset, VT

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Current Employers
Wellington Shields & Co., Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-01-22
VT RA APPROVED 2025-01-22
  • FL RA
    APPROVED
    Since 2025-01-22
  • VT RA
    APPROVED
    Since 2025-01-22

Branch Locations

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

Dorset, VT • United States

Dorset, VT • United States

Wellington Shields Capital Management, Llc

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

Current Registrations

AuthorityCategoryStatusDate
VT RA APPROVED 2025-01-22
  • VT RA
    APPROVED
    Since 2025-01-22

Branch Locations

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

Dorset, VT • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wellington Shields & Co., Llc New York NY 11/2009 Present
Previous Registrations
  • 2006-03-10 → 2015-12-31
    Cobalt Asset Management, Lp
    Naples, FL
    Dorset, VT
  • 2002-08-28 → 2010-12-31
    H. G. Wellington & Co., Inc.
    Dorset, VT
    Dorset, VT
    New York, NY
Other Businesses

WELLINGTON SHIELDS CAPITAL MANAGEMENT ASSOCIATES SINCE 2010. REGISTERED INVESTMENT ADVISOR. 140 BROADWAY, NEW YORK, NY 10005. INVESTMENT RELATD.PORTFOLIO MANAGER. TIME DEVOTED:DAILY

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-07-13
S63 Uniform Securities Agent State Law Examination 1996-09-25
  • S65 Uniform Investment Adviser Law Examination
    2002-07-13
  • S63 Uniform Securities Agent State Law Examination
    1996-09-25

View on SEC IAPD

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