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60 Broad St. 39Th Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2024-01-18 |
| NY | RA | APPROVED | 2021-09-12 |
| FL | RA | APPROVED | 2016-01-05 |
Branch Locations
60 Broad St. 39Th Floor, New York, NY 10004 • United States
Chatham, MA • United States
60 Broad St. 39Th Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2010-03-26 |
Branch Locations
60 Broad Street, 39Th Floor, New York, NY 10004 • United States
Chatham, MA • 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 |
|---|---|---|---|---|
| Wellington Shields & Co., Llc | New York | NY | 02/2009 | Present |
NAME OF BUSINESS: WELLINGTON SHIELDS CAPITAL MANAGEMENT 140 BROADWAY, NEW YORK, NY 10005 DESCRIPTION OF DUTIES: PORTFOLIO MANAGER NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISOR INVESTMENT RELATED: YES COMPENSATED: YES TIME DEVOTED PER MONTH: 160 HRS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-01-19 |
| S63 | Uniform Securities Agent State Law Examination | 1985-05-03 |
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