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).

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 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 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 33 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
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 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 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 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 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 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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