Wellington Shields & Co, LLC

Broker-DealerFINRA MemberEst. 2010
Total AUM
$546M
Discretionary
$511M
94% of AUM
Accounts
593
Employees
25
Advisory reps
50
Brokerage reps
19

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

FINTRX

Overview

Wellington Shields & Co, LLC is an SEC-registered limited liability company that has been advising clients since 2010. The firm operates as both a broker-dealer and an insurance broker while providing portfolio management services targeted at individuals and small businesses. Its client mix includes individual and family clients alongside some institutional relationships. The firm charges fees based on a percentage of assets under management and through fixed fees. Wellington Shields is not classified under a specialty category in the available data and is not flagged as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 80%, Cash & Cash Equivalents 8%, US Government Bonds 5%, Public Funds/Mutual Funds 4%, Non-Exchange Traded Equities 1%, State & Local Bonds 1%, Investment Grade Corp Bonds 1%80%
  • Exchange Traded Equities80%
  • Cash & Cash Equivalents8%
  • US Government Bonds5%
  • Public Funds/Mutual Funds4%
  • Non-Exchange Traded Equities1%

Owners & executives

3 of 8
  • William Mcfadden

    William Mcfadden

    CEO & Managing MemberCRD 5337971

  • Gail Dudack

    Gail Dudack

    Chief Market StrategistCRD 72557

  • Stephen Portas

    Stephen Portas

    President, Chief Compliance OfficerCRD 2482930

Unlock 5 more executives →

Contacts

3 of 42
  • James Shadek

    James Shadek

    Financial AdvisorCRD 702481

  • Frank Gretz

    Frank Gretz

    Market AnalystCRD 1444650

  • John Kelly

    Registered RepresentativeCRD 1550106

Unlock 39 more contacts →

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 58

Active vs passive

$27.4M in ETFs

Passive

99%

$27.1M

Active

1%

$357K

ETFProviderStyleCategoryValueShares% of portfolio
SPDR S&P 500 ETF TRUST (SPY)State StreetPassiveLarge Blend$5.6M7,55020.55%
Unlock additional holdings →

Location

Primary office

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

Similar firms

Gagnon Securities, LLC

Broker-Dealer

New York, NY

AUM $530MTEAM 19REPS 19

Andrew Garrett, Inc.

Broker-Dealer

New York, NY

AUM $521MTEAM 14REPS 29

Flagstar Securities, Inc.

Broker-Dealer

New York, NY

AUM $784MTEAM 37REPS 49

Kimelman & Baird, LLC

Broker-Dealer

New York, NY

AUM $1.5BTEAM 9REPS 6

Aegis Capital Corp.

Broker-Dealer

New York, NY

AUM $1.8BTEAM 260REPS 222

Quint Capital Management

Broker-Dealer

New York, NY

AUM $162MTEAM 16REPS 12
More Broker-Dealers in New York →All New York Broker-Dealers →

Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth