WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
Firm details
- Headquarters
- New York, New York
- CRD number
- 150529
- Registered since
- March 9, 2010
- Website
- www.wellingtonshields.com
- Custodians
- PERSHING LLC
- Fee structure
- Percentage of AUM, Fixed Fees
- Client types
- HNWI69.14%
- Charitable Organizations18.12%
- Corporations / Businesses6.58%
- Individuals5.6%
- Pension & Profit Sharing Plans0.56%
- Services
- Portfolio Management for IndividualsPortfolio Management for Institutional Clients
Firm profile
FINTRXOverview
Wellington Shields Capital Management, LLC is a privately owned limited liability company that has been SEC-registered since 2010. The firm provides portfolio management services for individuals, small businesses, and for business or institutional clients. Its client base includes both individual & family clients and institutional investors, and it charges a mix of percentage-of-AUM and fixed fees. The firm is not identified as an active ESG investor. It reports affiliations with a broker-dealer and with other investment adviser activities. Wellington Shields is marked as a domestic entity with individual ownership and is not classified as a capital allocator or as a multi-state adviser under the reporting fields provided.
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 Equities67%
- State & Local Bonds18%
- Public Funds/Mutual Funds6%
- US Government Bonds5%
- Cash & Cash Equivalents4%
Owners & executives
3 of 5PHILIP CURCURU
Chief Financial OfficerCRD 4170350
DAVID SHIELDS
CEO & Managing MemberCRD 1072810
PAUL GULDEN
Co-Chief Investment OfficerCRD 231863
Contacts
3 of 9CHARLES THOMPSON
Senior Wealth AdvisorCRD 445603
EILEEN CONNOLLY
Managing DirectorCRD 3015310
JOSEPH BARBERA
Wealth Management AssociateCRD 7622118
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 67Active vs passive
$83.2M in ETFs
97%
$81M
2%
$2.2M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| STATE STREET(R) SPDR(R) S&P(R) METALS & MINING ETF (XME) | State Street | Passive | Natural Resources | $10.4M | 95,850 | 12.45% |
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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