WELLINGTON SHIELDS & CO., LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 149021). Regulatory assets under management: $546.0M.
Compensation: % of AUM, Fixed.
Clients served: High net worth.
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 | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| — | regulatory | — | — | — |