Wellington Shields & Company, LLC

Wellington Shields & Company, LLC (CRD# 149021) is a financial advisory firm headquartered in New York, NY. They manage $278,475,170 in 204 accounts and serve the financial needs of clients across 14 states (or territories).

Current Firm Details
140 Broadway, New York, NY 10005
http://www.wellingtonshields.com
By the Numbers
  • Total Assets Under Management
    278
    MILLION
  • Total Number of Accounts
    204
    ACCOUNTS
  • Average Account Value
    $1,365,074
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States
Advisors affiliated with a RIA are permitted to work with up to five clients in nearly-all states* without explicit registration. The map below shows states where this firm has explicit registration only.

AZ, CT, DC, DE, FL, GA, MA, NC, NJ, NY, PA, TX, VA, VT

Financial Advisors at Wellington Shields & Company, LLC
Showing 1 - 10 of 24 top financial advisors.
1
Alexander Cripps, financial advisor New York NY
Alexander M. Cripps
CRD#: 4595640
140 Broadway, Suite 4400, New York, NY 10005
96
Wealthminder
score

Alexander Cripps (CRD# 4595640) is an Investment Advisor Representative working at Wellington Shields & Company, LLC in New York, NY and has over 15 years of experience in the finance industry.

2
Henry Bogert, financial advisor New York NY
Henry L. Bogert
CRD#: 24842
140 Broadway, Suite 4400, New York, NY 10005
93
Wealthminder
score

Henry Bogert (CRD# 24842) is an Investment Advisor Representative working at Wellington Shields & Company, LLC in New York, NY and has over 37 years of experience in the finance industry.

3
Georges Boyer, financial advisor New York NY
Georges C. Boyer
CRD#: 1327554
140 Broadway, Suite 4400, New York, NY 10005
93
Wealthminder
score

Georges Boyer (CRD# 1327554) is an Investment Advisor Representative working at Wellington Shields & Company, LLC in New York, NY and has over 33 years of experience in the finance industry.

4
Alan Braunshweiger, financial advisor New York NY
Alan S. Braunshweiger
CRD#: 29311
140 Broadway, Suite 4400, New York, NY 10005
93
Wealthminder
score

Alan Braunshweiger (CRD# 29311) is an Investment Advisor Representative working at Wellington Shields & Company, LLC in New York, NY and has over 29 years of experience in the finance industry.

5
Robert Brogan, financial advisor New York NY
Robert V. Brogan
CRD#: 31338
140 Broadway, Suite 4400, New York, NY 10005
93
Wealthminder
score

Robert Brogan (CRD# 31338) is an Investment Advisor Representative working at Wellington Shields & Company, LLC in New York, NY and has over 17 years of experience in the finance industry.

6
Terence Brogan, financial advisor New York NY
Terence W. Brogan
CRD#: 3162331
140 Broadway, Suite 4400, New York, NY 10005
93
Wealthminder
score

Terence Brogan (CRD# 3162331) is an Investment Advisor Representative working at Wellington Shields & Company, LLC in New York, NY and has over 19 years of experience in the finance industry.

7
John Clough, financial advisor New York NY
John P. Clough
CRD#: 2082696
140 Broadway, Suite 4400, New York, NY 10005
93
Wealthminder
score

John Clough (CRD# 2082696) is an Investment Advisor Representative working at Wellington Shields & Company, LLC in New York, NY and has over 27 years of experience in the finance industry.

8
Joseph Difranks, financial advisor New York NY
Joseph P. Difranks
CRD#: 1723717
140 Broadway, New York, NY 10005
93
Wealthminder
score

Joseph Difranks (CRD# 1723717) is an Investment Advisor Representative working at Wellington Shields & Company, LLC in New York, NY and has over 15 years of experience in the finance industry.

9
Sylvia Ferst, financial advisor New York NY
Sylvia L. Ferst
CRD#: 2185576
140 Broadway, Suite 4400, New York, NY 10005
93
Wealthminder
score

Sylvia Ferst (CRD# 2185576) is an Investment Advisor Representative working at Wellington Shields & Company, LLC in New York, NY and has over 9 years of experience in the finance industry.

10
Deborah Gaskins, financial advisor New York NY
Deborah B. Gaskins
CRD#: 1402260
140 Broadway, Suite 4400, New York, NY 10005
93
Wealthminder
score

Deborah Gaskins (CRD# 1402260) is an Investment Advisor Representative working at Wellington Shields & Company, LLC in New York, NY and has over 29 years of experience in the finance industry.

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Our primary data source is public filings of Form ADV as published by the Securities and Exchange Commission (SEC) and made available in accordance with the Freedom of Information Act (FOIA). Supplementary information may be provided by listed advisors or their representatives.

Because many firms provide a variety of products or services, an individual may or may not be registered to operate under all services provided by the firm.

Do not rely solely on the information on this page. The information may be inaccurate, incomplete or outdated. For the most accurate and up-to-date information, please search for the firm or individual on the SEC site at http://www.adviserinfo.sec.gov/IAPD/Content/Search/iapd_Search.aspx

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