WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 150529). Regulatory assets under management: $1.2B.
Compensation: % of AUM, Fixed.
Clients served: High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| Paul Immo Gulden | ELECTED MANAGER | — |
| William Jameson Mcfadden | CEO, SECRETARY; ELECTED MANAGER; SHAREHOLDER | — |
| Stephen John Portas | CHIEF COMPLIANCE OFFICER | — |
| Philip Michael Curcuru | VP AND CONTROLLER | — |
| David Vincent Shields | CHAIRMAN; ELECTED MANAGER; OWNER (+1 more) | — |
| Thomas Waters Grant | ELECTED MANAGER | — |
| David Larus Shields | OWNER | — |
| GRANT THOMAS WATERS | ELECTED MANAGER; MANAGER | — |
| SHADEK LAURENCE ARTHUR | ELECTED MANAGER; MANAGER | — |
| WELLINGTON CHARLES H | ELECTED MANAGER; MANAGER | — |
| SHIELDS DAVID VINCENT | CEO; CHAIRMAN; CO-CEO (+4 more) | — |
| SCARPA RALPH JOSEPH | ELECTED MANAGER; MANAGER | — |
| MEYER CHRISTOPHER FRANCIS | CHIEF COMPLIANCE OFFICER | — |
| GULDEN PAUL IMMO | ELECTED MANAGER; MANAGER | — |
| MCFADDEN WILLIAM JAMESON | CEO, SECRETARY; ELECTED MANAGER; MANAGER (+1 more) | — |
| CURCURU PHILIP MICHAEL | VP AND CONTROLLER | — |
| PORTAS STEPHEN JOHN | CHIEF COMPLIANCE OFFICER | — |
| SHIELDS DAVID LARUS | OWNER | — |
| Shields Maury | EXECUTRIX | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| — | regulatory | — | — | — |