Best Investors Account Sign in

Philip Francis Walkley

Wellington Shields & Co., LLC

New York, NY

New York, NY

Claim This Profile
Current Employers
Wellington Shields & Co., Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-13
CT RA APPROVED 2010-03-09
  • NY RA
    APPROVED
    Since 2021-08-13
  • CT RA
    APPROVED
    Since 2010-03-09

Branch Locations

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

60 Broad Street, 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
H. G. Wellington & Co., Inc. New York NY 01/1994 Present
Wellington Shields & Co., Llc New York NY 11/2009 Present
Previous Registrations
  • 2005-04-07 → 2010-12-31
    H. G. Wellington & Co., Inc.
    New York, NY
    New York, NY
    New York, NY
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-05-17
S63 Uniform Securities Agent State Law Examination 1983-11-30
  • S65 Uniform Investment Adviser Law Examination
    2000-05-17
  • S63 Uniform Securities Agent State Law Examination
    1983-11-30

View on SEC IAPD

Other Firms

ISLET MANAGEMENT, LP
P2 CAPITAL PARTNERS, LLC
KINYAN CAPITAL MANAGEMENT LLC
BRIGHTSPIRE CAPITAL ADVISORS, LLC
ACORN ADVISORY CAPITAL, L.P.
COMPASS GROUP LLC
CRESTVIEW PARTNERS
LEEDS EQUITY PARTNERS

Other Investors

STEVEN MARC MUEHLGAY
STEPHANIE LYNN FAGENSON
Ross Gladstone
Logan Stephen Michals
JONATHAN HARRY SIEGEL
HAL WILLIAM BROWN
RICCARDO MARIA RAINIERI
TEDDY LELLOS

Other Offices

ISLET MANAGEMENT, LP · NEW YORK, NY
P2 CAPITAL PARTNERS, LLC · NEW YORK, NY
KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY
BRIGHTSPIRE CAPITAL ADVISORS, LLC · NEW YORK, NY
ACORN ADVISORY CAPITAL, L.P. · NEW YORK, NY
COMPASS GROUP LLC · NEW YORK, NY
CRESTVIEW PARTNERS · NEW YORK, NY
LEEDS EQUITY PARTNERS · NEW YORK, NY

More in New York, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor