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Wellington Shields & Co., LLC

● SEC registered since 2010CRD 149021SEC# 801-70755New York, NY
Export (members)
Reg. AUM
$470.9M
Employees
25
Accounts
524
Location
New York, NY

Wellington Shields & Co., LLC assets under management

Wellington Shields & Co., LLC is an investment advisory firm registered with the SEC based in New York, NY. The firm has been registered since 2010. It reports $470.9 million in regulatory assets under management and employs 25 people.
www.wellingtonshields.comView on SEC.gov ↗

Wellington Shields & Co., LLC owners & executives

18 reported
NameTitleOwnershipSince
David Vincent Shields ControlChairman/Managing MemberUnder 5%2008
Edward Kenneth March ControlSvp, Head Of Trading, Msrb Principal, Srop/CropUnder 5%2011
James McClenahan ShadekMember-SalesUnder 5%2008
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Frequently asked questions

How much does Wellington Shields & Co., LLC manage?

Wellington Shields & Co., LLC reports $470.9 million in regulatory assets under management on its Form ADV.

How many employees does Wellington Shields & Co., LLC have?

Wellington Shields & Co., LLC reports 25 employees.

Where is Wellington Shields & Co., LLC located?

Wellington Shields & Co., LLC is based in New York, NY and has been SEC-registered since 2010.

Does Wellington Shields & Co., LLC disclose fund performance?

Wellington Shields & Co., LLC is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.

Contact & registration

Address60 Broad St., 39th Floor, New York, NY 10004
Phone212-320-2000
Fax212-320-3040
Office hours9:00 a.m. - 5:00 p.m.
SEC regionNew York Regional Office (NYRO)
CIK1450943
Discloses disciplinary historyYes

Assets under management

Discretionary$430.5M
Non-discretionary$40.4M
Total (RAUM)$470.9M