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Wellington Shields & Co., LLC CRD 149021
$546M regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
60 Broad St. 39Th Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2010-03-09 |
Branch Locations
60 Broad Street 39Th Floor, New York, NY 10004 • USA
140 North Broad Street, Thomasville, GA 31792 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Shields & Company | New York | NY | 01/2001 | Present |
| Wellington Shields & Co., Llc | New York | NY | 11/2009 | Present |
WELLINGTON SHIELDS CAPITAL MANAGEMENT 140 BROADWAY, NEW YORK NY 10005 INVESTMENT RELATED NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISOR TITLE: ADMINISTRATION RESPONSIBILITIES: CLIENT SERVICING
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-08-27 |
| S63 | Uniform Securities Agent State Law Examination | 1988-10-19 |
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