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 21 - 26 of 26 top financial advisors.
21
Anthony Daprato, financial advisor New York NY
Anthony J. Daprato
CRD#: 1480221
140 Broadway, Suite 4400, New York, NY 10005

Anthony Daprato (CRD# 1480221) 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.

22
Joseph Edwards, financial advisor Thomasville GA
Joseph M. Edwards
CRD#: 7509337
140 North Broad Street, Thomasville, GA 31792

Joseph Edwards (CRD# 7509337) is an Investment Advisor Representative working at Wellington Shields & Company, LLC in Thomasville, GA and has 1 year of experience in the finance industry.

23
Timothy Gaulin, financial advisor Shelburne Falls MA
Timothy Gaulin
CRD#: 7645144
29 Bridge Street, Shelburne Falls, MA 01370

Timothy Gaulin (CRD# 7645144) is an Investment Advisor Representative working at Wellington Shields & Company, LLC in Shelburne Falls, MA and has 1 year of experience in the finance industry.

24
Stephen Portas, financial advisor New York NY
Stephen J. Portas
CRD#: 2482930
140 Broadway, Suite 4400, New York, NY 10005

Stephen Portas (CRD# 2482930) 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.

25
Ellen Purinton, financial advisor Shelburne Falls MA
Ellen Purinton
CRD#: 6848664
29 Bridge Street, Shelburne Falls, MA 01370

Ellen Purinton (CRD# 6848664) is an Investment Advisor Representative working at Wellington Shields & Company, LLC in Shelburne Falls, MA and has over 5 years of experience in the finance industry.

26
Guy Ule, financial advisor New York NY
Guy M. Ule
CRD#: 451403
140 Broadway, Suite 4400, New York, NY 10005

Guy Ule (CRD# 451403) 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.

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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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