Wellington Shields & Co, LLC

Broker-DealerFINRA MemberEst. 2010
Total AUM
$546M
Discretionary
$511M
94% of AUM
Accounts
593
Employees
25
Advisory reps
51
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

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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

  • Alexander Cripps

    Alexander Cripps

    Co-Chief Investment OfficerCRD 4595640

  • David Shields

    David Shields

    CEO & Managing MemberCRD 1072810

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Contacts

3 of 43
  • Scott Purinton

    Scott Purinton

    SVP, Senior Wealth AdvisorCRD 4329431

  • Kristina Furnari

    Kristina Furnari

    Wealth AdvisorCRD 4203268

  • Noel Kezsbom

    Noel Kezsbom

    Senior Vice PresidentCRD 268896

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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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%
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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

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth