Wellington Shields & Co., LLC
● SEC registered since 2010CRD 149021SEC# 801-70755New York, NY
Reg. AUM
$546M
Employees
25
Accounts
593
Location
New York, NY
Wellington Shields & Co., LLC assets under management
Wellington Shields & Co., LLC is an investment advisory firm registered with the SEC based in New York, NY. The firm has been registered since 2010. It reports $546 million in regulatory assets under management and employs 25 people.
Wellington Shields & Co., LLC owners & executives
13 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| David Vincent Shields Control | Chairman/Managing Member | Under 5% | 2008 |
| Edward Kenneth March Control | Svp, Head Of Trading, Msrb Principal, Srop/Crop | Under 5% | 2011 |
| Joseph Nicholas Cembrola | Member Operations | Under 5% | 2008 |
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Join to unlock · $37/moFrequently asked questions
How much does Wellington Shields & Co., LLC manage?
Wellington Shields & Co., LLC reports $546 million in regulatory assets under management on its Form ADV.
How many employees does Wellington Shields & Co., LLC have?
Wellington Shields & Co., LLC reports 25 employees.
Where is Wellington Shields & Co., LLC located?
Wellington Shields & Co., LLC is based in New York, NY and has been SEC-registered since 2010.
Does Wellington Shields & Co., LLC disclose fund performance?
Wellington Shields & Co., LLC is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 60 Broad St., 39th Floor, New York, NY 10004 |
| Phone | 212-320-2000 |
| Fax | 212-320-3040 |
| Office hours | 9:00 a.m. - 5:00 p.m. |
| SEC region | New York Regional Office (NYRO) |
| CIK | 1450943 |
| Discloses disciplinary history | Yes |
Regulatory AUM
$546M▲ 16%
Mar '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 46%
Larger than 54% of 16,271 advisers
EmployeesTop 20%
More than 80% of 16,825 advisers
Assets under management
$546Mregulatory AUM
Discretionary $511.1MNon-discretionary $34.8M