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60 Broad St. 39Th Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-23 |
Branch Locations
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 | 07/1982 | Present |
| Wellington Shields & Co., Llc | New York | NY | 02/2009 | Present |
| Capital Management Associates | New York | NY | 01/2008 | Present |
| Wellington Shields Capital Management | New York | NY | 02/2009 | Present |
NAME OF BUSINESS: CAPITAL MANAGEMENT INVESTMENT TRUST INVESTMENT RELATED ADDRESS: 140 BROADWAY, NEW YORK, NY 10005 NATURE OF BUSINESS: REGISTERED OPEN-END INVESTMENT MANAGEMENT COMPANY POSITION: INTERESTED TRUSTEE START DATE: 1994 DUTIES: OVERSEES ACTIVIY OF THE FUND. COMPENSATED: NO ATTENDS QTRLY. BOARD MEETINGS NAME OF BUSINESS: WELLINGTON SHIELDS CAPITAL MANAGEMENT INVESTMENT RELATED ADDRESS: 140 BROADWAY, NEW YORK, NY 10005 NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISOR POSITION: MANAGING DIRECTOR START DATE: JULY 2010 TIME DEVOTED: DAILY DUTIES: OVERSEES ACTIVITIES OF THE FIRM. COMPENSATED: NO NAME OF BUSINESS: CAPITAL MANAGEMENT ASSOCIATES, INC. INVESTMENT RELATED ADDRESS: 140 BROADWAY, NEW YORK, NY 10005 NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISOR POSITION: DIRECTOR START DATE: 1982 TIME DEVOTED: DAILY DUTIES: OVERSEES ACTIVITIES OF THE FIRM. COMPENSATED: NO
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1994-04-12 |
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