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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2017-12-19 |
| GA | RA | APPROVED | 2017-12-19 |
Branch Locations
140 North Broad Street, Thomasville, GA 31792 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Unemployed | Thomasville | GA | 08/2014 | 10/2017 |
| Wellington Shields | Thomasville | GA | 10/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-12-13 |
| S63 | Uniform Securities Agent State Law Examination | 1985-10-30 |
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