Wellington Shields & Company, LLC

Wellington Shields & Company, LLC (CRD# 149021) is a financial advisory firm headquartered in New York, NY. They manage $218,706,559 in 200 accounts and serve the financial needs of clients across 14 states (or territories).

By the Numbers
  • Total Assets Under Management
    219
    MILLION
  • Total Number of Accounts
    200
    ACCOUNTS
  • Average Account Value
    $1,093,533
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 21 top financial advisors.
1
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 14 years of experience in the finance industry.

2
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 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 32 years of experience in the finance industry.

4
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 28 years of experience in the finance industry.

5
Robert V. Brogan
CRD#: 31338
425 Lewis Wharf, Boston, MA 02110
93
Wealthminder
score

Robert Brogan (CRD# 31338) is an Investment Advisor Representative working at Wellington Shields & Company, LLC in Boston, MA and has over 16 years of experience in the finance industry.

6
Terence W. Brogan
CRD#: 3162331
425 Lewis Wharf, Boston, MA 02110
93
Wealthminder
score

Terence Brogan (CRD# 3162331) is an Investment Advisor Representative working at Wellington Shields & Company, LLC in Boston, MA and has over 18 years of experience in the finance industry.

7
John P. Clough
CRD#: 2082696
140 North Broad Street, Thomasville, GA 31792
93
Wealthminder
score

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

8
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 14 years of experience in the finance industry.

9
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 8 years of experience in the finance industry.

10
Deborah B. Gaskins
CRD#: 1402260
140 North Broad Street, Thomasville, GA 31792
93
Wealthminder
score

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

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Advisor profile scores displayed on this site are derived using the following criteria. Step 1: An advisor profile rating starts with a baseline score of 90 points. Step 2: The advisor score is increased from the baseline after screening for 3 criteria: years of experience, industry credentials and completeness of profile. Step 3: The advisor score is decreased after screening for publicly available disclosure events such as litigation or regulatory matters. Such decreases relate to the existence of a disclosure and, in most cases, do not account for timing, magnitude or severity of such disclosure. Many other factors are not considered in the scoring such as financial stability, fees, affiliations and educational background, and you should carefully consider these factors. The criteria are based on information Wealthminder deems helpful and available at the time of the scoring. Scores do not vary based on qualitative feedback from users. Advisor presentation and visibility and allocation of proposals will vary for advisors who pay a marketing plan program fee. Wealthminder does not recommend or provide any warranty or guarantee of the quality or suitability of any specific advisor or products or services offered by such advisor. Please consult regulatory sites for additional information about advisors’ background.