WELLINGTON SHIELDS & CO., LLC

Overview

Wellington Shields & Co, LLC is a limited liability company that has been SEC-registered since 2010. The firm serves a mix of individual and family clients as well as institutional relationships, offering portfolio management services targeted at individuals and small businesses. In addition to investment advisory, the firm operates as a broker-dealer and an insurance broker, and its revenue model combines percentage-of-assets-under-management fees with fixed-fee arrangements. The firm does not present itself as a capital allocator or as an active ESG investor. Ownership is described as a combination of a domestic entity and individual ownership. Wellington Shields appears positioned to provide advisory and transactional services across retail and institutional client segments rather than acting as a multi-strategy allocator or a family office.

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Public Holdings

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Location & Offices