Wellington Shields Capital Management, LLC

Firm record

As recorded in SEC IAPD

Firm CRD

150529

SEC number

801-70712

Firm type

RIA

Assets under management

$1.2B as of Mar 24, 2026

Website

www.wellingtonshields.com ↗

Phone

212-320-3000

Address

60 Broad St., New York, NY, 10004

Advisors at this firm

10 in our index · page 1 of 1

• Eileen Frances ConnollyCRD 3015310 · New York, NY
  IA RegisteredBroker
• Kristina Metz FurnariCRD 4203268 · Flagler Beach, FL
  IA RegisteredBroker
  Disclosure event(s) on record
• Thomas Waters GrantCRD 227594 · New York, NY
  IA RegisteredBroker
• Paul Immo GuldenCRD 231863 · New York, NY
  IA RegisteredBroker
• John Peter KellyCRD 1550106 · Locust Valley, NY
  IA RegisteredBroker
• Julian LecrawCRD 6412334 · New York, NY
  IA RegisteredBroker
• Geza John MarxCRD 2836839 · New York, NY
  IA Registered
• David Vincent ShieldsCRD 1072810 · New York, NY
  IA RegisteredBroker
  Disclosure event(s) on record
• Mark Porter SperryCRD 1330909 · New York, NY
  IA RegisteredBroker
  Disclosure event(s) on record
• Charles Richard ThompsonCRD 445603 · Dorset, VT
  IA RegisteredBroker
  Disclosure event(s) on record

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.