Wellington Shields & Co., LLC

Firm record

As recorded in SEC IAPD

Firm CRD

149021

SEC number

801-70755

Firm type

RIA

Assets under management

$546.0M as of Mar 17, 2026

Website

www.wellingtonshields.com ↗

Phone

212-320-2000

Address

60 Broad St., New York, NY, 10004

Advisors at this firm

40 in our index · page 1 of 1

• Jerome BallanCRD 11411 · New York, NY
  Broker
• Joseph BarberaCRD 7622118 · New York, NY
  IA RegisteredBroker
• Georges Carter BoyerCRD 1327554 · Vero Beach, FL
  IA RegisteredBroker
• Howard David BrousCRD 31868 · Locust Valley, NY
  Broker
• Joseph Nicholas CembrolaCRD 2310761 · New York, NY
  Broker
• Donald E ChappellCRD 5631603 · New York, NY
  IA Registered
• Andrea Bernadette CostelloCRD 1607041 · New York, NY
  Broker
• Alexander Maclin CrippsCRD 4595640 · New York, NY
  IA RegisteredBroker
• Philip Michael CurcuruCRD 4170350 · New York, NY
  Broker
• Anthony Joseph DapratoCRD 1480221 · New York, NY
  IA RegisteredBroker
• Joseph Paul DifranksCRD 1723717 · New York, NY
  BrokerRegistration inactive
• Gail Marie DudackCRD 72557 · New York, NY
  Broker
• Luanne EisenbergCRD 2199200 · New York, NY
  Broker
• James Edward FaheyCRD 2191811 · Locust Valley, NY
  IA RegisteredBroker
  Disclosure event(s) on record
• Jeffrey S. FoleyCRD 6300048 · New York, NY
  Broker
• Judith Miguelina FriasCRD 2110535 · New York, NY
  Broker
• Steven M FriedfertigCRD 6258549 · New York, NY
  Broker
• Deborah Beaufait GaskinsCRD 1402260 · Thomasville, GA
  IA RegisteredBroker
• Frank Douglas GretzCRD 1444650 · New York, NY
  Broker
• Timothy GaulinCRD 7645144 · Shelburne Falls, MA
  IA RegisteredBroker
• William Shelton HayesCRD 7950833 · New York, NY
  IA RegisteredBroker
• Noel KezsbomCRD 268896 · New York, NY
  IA RegisteredBroker
  Disclosure event(s) on record
• Edward Kenneth MarchCRD 2100535 · New York, NY
  Broker
• Theodore Allan NelsonCRD 2518913 · New York, NY
  Broker
• Robert Kenneth OnealCRD 1429800 · Thomasville, GA
  IA RegisteredBroker
• Mark Donald PankoffCRD 1863367 · New York, NY
  IA RegisteredBroker
• Stephen John PortasCRD 2482930 · Thomasville, GA
  IA RegisteredBroker
• Patricia Diane PowellCRD 2739875 · Thomasville, GA
  IA RegisteredBroker
• Scott Robert PurintonCRD 4329431 · Hawley, MA
  IA RegisteredBroker
• Veronica Lee PiusCRD 3136112 · New York, NY
  Broker
• Ellen PurintonCRD 6848664 · Shelburne Falls, MA
  IA RegisteredBroker
• William Robert PurintonCRD 8187651 · Shelburne Falls, MA
  IA RegisteredBroker
• James Mcclenahan ShadekCRD 702481 · New York, NY
  Broker
• Laurence Arthur ShadekCRD 419483 · New York, NY
  Broker
• Alan Martin SilvermanCRD 424026 · New York, NY
  Broker
• Pamela Suzanne TaylorCRD 2255299 · New York, NY
  Broker
• Guy Maxwell UleCRD 451403 · New York, NY
  IA RegisteredBroker
  Disclosure event(s) on record
• Philip Francis WalkleyCRD 1215330 · New York, NY
  IA RegisteredBroker
• Peter B WaltmanCRD 2621693 · New York, NY
  Broker
• Jason Todd WeissmanCRD 2723437 · New York, NY
  Broker

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

Data compiled Aug 20, 2026. Source: ADV_BULK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.