# WELLINGTON SHIELDS & CO., LLC

WELLINGTON SHIELDS & CO., LLC of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 149021
- Type: SEC-registered investment adviser
- SEC file number: 801-70755
- Location: 60 BROAD ST., 39TH FLOOR, NEW YORK, NY, 10004
- Phone: 212-320-2000
- Latest filing: 2026-03-17
- Regulatory AUM: $546.0M
- Discretionary AUM: $511.1M
- Non-discretionary AUM: $34.8M
- Clients: 25
- Accounts: 593

## Business model

- Compensation: % of AUM, Fixed
- Clients served: High net worth

## Officers, owners & control persons (32)

_Showing 25 of 32 people._

| Name | Role | Location |
| --- | --- | --- |
| Joseph Nicholas Cembrola | MEMBER OPERATIONS | — |
| Philip Michael Curcuru | CFO/COO | — |
| Thomas Waters Grant | MANAGING MEMBER | — |
| Paul Immo Jr Gulden | MANAGING MEMBER | — |
| James Mcclenahan Shadek | MEMBER-SALES | — |
| Laurence Arthur Shadek | ELECTED MANAGER; MANAGING MEMBER/SECY | — |
| David Vincent Shields | CHAIRMAN/MANAGING MEMBER; ELECTED MANAGER; SHAREHOLDER | — |
| Mark Porter Sperry | MEMBER | — |
| Stephen John Portas | PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| Edward Kenneth March | SVP, HEAD OF TRADING, MSRB PRINCIPAL, SROP/CROP | — |
| William Jameson Mcfadden | CEO; ELECTED MANAGER; SHAREHOLDER | — |
| David Larus Shields | SHAREHOLDER | — |
| GULDEN PAUL IMMO JR | EVP/DIR; MANAGING MEMBER | — |
| GRANT THOMAS WATERS | CO-CEO/MANAGING MEMBER; MANAGING MEMBER | — |
| LAGEMANN PETER JAY | EVP/DIR | — |
| SHADEK LAURENCE ARTHUR | ELECTED MANAGER; MANAGING MEMBER/SECY; MANAGING MEMBER/SECY/CO-SROP/CO-CROP | — |
| CEMBROLA JOSEPH NICHOLAS | MEMBER OPERATIONS | — |
| SPERRY MARK PORTER | MEMBER | — |
| WELLINGTON CHARLES H | VICE CHAIRMAN/MANAGING MEMBER | — |
| SHADEK JAMES MCCLENAHAN | MEMBER-SALES | — |
| SHIELDS DAVID VINCENT | CHAIRMAN/MANAGING MEMBER; ELECTED MANAGER; EXECUTOR (+2 more) | — |
| SCARPA RALPH JOSEPH | CO-CEO/MANAGING MEMBER; MANAGING MEMBER | — |
| MEYER CHRISTOPHER FRANCIS | CHIEF COMPLIANCE OFFICER | — |
| MCFADDEN WILLIAM JAMESON | CEO; ELECTED MANAGER; PRESIDENT | — |
| CURCURU PHILIP MICHAEL | CFO/COO | — |


## Disclosures (2)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| — | regulatory | — | — | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/149021/brochure
- Similar advisers: https://search.stillhousedata.com/firm/149021/similar
- Related entities: https://search.stillhousedata.com/firm/149021/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/149021

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.