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60 Broad St. 39Th Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2025-06-03 |
| NY | RA | APPROVED | 2022-01-19 |
Branch Locations
60 Broad Street 39Th Floor, New York, NY 10004 • USA
60 Broad Street, 39Th Floor, New York, NY 10004 • United States
Cornwall Bridge, CT • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Shields & Company | New York | NY | 11/2000 | Present |
| Wellington Shields & Co., Llc | New York | NY | 11/2009 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-01-15 |
| S63 | Uniform Securities Agent State Law Examination | 1980-07-29 |
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