Wellington Shields & Co, LLC
Firm details
- Headquarters
- New York, New York
- CRD number
- 149021
- Registered since
- March 9, 2010
- Website
- www.wellingtonshields.com
- Custodians
- PERSHING LLC
- Fee structure
- Percentage of AUM, Fixed Fees
- Client types
- HNWI76.75%
- Individuals14.37%
- Corporations / Businesses6.81%
- Charitable Organizations1.84%
- Pension & Profit Sharing Plans0.23%
- Services
- Portfolio Management for Individuals
Firm profile
FINTRXOverview
Wellington Shields & Co, LLC is a limited liability company that provides brokerage, insurance brokerage and advisory services to individual, family and institutional clients. The firm is registered with the SEC (registration year 2010) and reports portfolio management for individuals and small businesses as a core advisory activity. Its revenue model combines percentage-of-assets-under-management fees with fixed fees. The firm does not identify as an active ESG investor and is not reported as a capital allocator to third‑party alternative funds.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities80%
- Cash & Cash Equivalents8%
- US Government Bonds5%
- Public Funds/Mutual Funds4%
- Non-Exchange Traded Equities1%
Owners & executives
FINTRXContacts
FINTRXWealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 13Active vs passive
$12.9M in ETFs
97%
$12.5M
0%
$400K
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| INVESCO S&P 500 EQUAL WEIGHT ETF (RSP) | Invesco | Passive | Large Blend | $1.6M | 7,500 | 12.10% |
Location
New York, NY
New York
Location
New York, NY
Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.
- Metro area
- New York-Newark, NY-NJ-CT-PA
- Region
- Northeast
- County
- New York
- Address
- 60 Broad St
- Time zone
- ET (UTC-5)
- Office locations
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