Wellington Shields & Company, LLC

Wellington Shields & Company, LLC (CRD# 149021) is a financial advisory firm headquartered in New York, NY. They manage $408,723,807 in 493 accounts and serve the financial needs of clients across 16 states (or territories).

Current Firm Details
140 Broadway, 44th Floor, New York, NY 10005
http://www.wellingtonshields.com
By the Numbers
  • Total Assets Under Management
    409
    MILLION
  • Total Number of Accounts
    493
    ACCOUNTS
  • Average Account Value
    $829,054
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States
The map below shows states where this firm has explicit registration only.

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

Financial Advisors at Wellington Shields & Company, LLC
Showing 11 - 20 of 26 top financial advisors.
11
Noel Kezsbom, financial advisor New York NY
Noel Kezsbom
CRD#: 268896
140 Broadway, Suite 4400, New York, NY 10005

Noel Kezsbom (CRD# 268896) is an Investment Advisor Representative working at Wellington Shields & Company, LLC in New York, NY and has over 43 years of experience in the finance industry.

12
Robert Oneal, financial advisor Thomasville GA
Robert K. Oneal
CRD#: 1429800
140 North Broad Street, Thomasville, GA 31792

Robert Oneal (CRD# 1429800) is an Investment Advisor Representative working at Wellington Shields & Company, LLC in Thomasville, GA and has over 38 years of experience in the finance industry.

13
Mark Pankoff, financial advisor New York NY
Mark D. Pankoff
CRD#: 1863367
140 Broadway, Suite 4400, New York, NY 10005

Mark Pankoff (CRD# 1863367) is an Investment Advisor Representative working at Wellington Shields & Company, LLC in New York, NY and has over 13 years of experience in the finance industry.

14
Patricia Powell, financial advisor Thomasville GA
Patricia D. Powell
CRD#: 2739875
140 North Broad Street, Thomasville, GA 31792

Patricia Powell (CRD# 2739875) is an Investment Advisor Representative working at Wellington Shields & Company, LLC in Thomasville, GA and has over 24 years of experience in the finance industry.

15
Scott Purinton, financial advisor New York NY
Scott R. Purinton
CRD#: 4329431
140 Broadway, Suite 4400, New York, NY 10005

Scott Purinton (CRD# 4329431) is an Investment Advisor Representative working at Wellington Shields & Company, LLC in New York, NY and has over 23 years of experience in the finance industry.

16
Mark Sperry, financial advisor New York NY
Mark P. Sperry
CRD#: 1330909
140 Broadway, Suite 4400, New York, NY 10005

Mark Sperry (CRD# 1330909) is an Investment Advisor Representative working at Wellington Shields & Company, LLC in New York, NY and has over 38 years of experience in the finance industry.

17
Roberta Stafford, financial advisor New York NY
Roberta K. Stafford
CRD#: 865356
140 Broadway, Suite 4400, New York, NY 10005

Roberta Stafford (CRD# 865356) is an Investment Advisor Representative working at Wellington Shields & Company, LLC in New York, NY and has over 35 years of experience in the finance industry.

18
Charles Thompson, financial advisor New York NY
Charles R. Thompson
CRD#: 445603
140 Broadway, Suite 4400, New York, NY 10005

Charles Thompson (CRD# 445603) 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.

19
Philip Walkley, financial advisor New York NY
Philip F. Walkley
CRD#: 1215330
140 Broadway, Suite 4400, New York, NY 10005

Philip Walkley (CRD# 1215330) is an Investment Advisor Representative working at Wellington Shields & Company, LLC in New York, NY and has over 40 years of experience in the finance industry.

20
Donald Chappell, financial advisor New York NY
Donald E. Chappell
CRD#: 5631603
140 Broadway, 44th Floor, New York, NY 10005

Donald Chappell (CRD# 5631603) is an Investment Advisor Representative working at Wellington Shields & Company, LLC in New York, NY and has 1 year 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.

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