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John Peter Kelly

Wellington Shields Capital Management, LLC

New York, NY

Locust Valley, NY

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Current Employers
Wellington Shields Capital Management, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-30
  • NY RA
    APPROVED
    Since 2021-08-30

Branch Locations

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

63 Forrest Avenue, Locust Valley, NY 11560 • 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
Shields & Company Locust Valley NY 05/1989 Present
Wellington Shields & Co., Llc New York NY 11/2009 Present
Wellington Shields Capital Management New York NY 02/2009 Present
  • 05/1989 → Present
    Shields & Company
    Locust Valley, NY
  • 11/2009 → Present
    Wellington Shields & Co., Llc
    New York, NY
  • 02/2009 → Present
    Wellington Shields Capital Management
    New York, NY
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-10-09
  • S63 Uniform Securities Agent State Law Examination
    1986-10-09
Other Names
  • John Kelly

View on SEC IAPD

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