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WELLINGTON SHIELDS & CO., LLC
CRD 149021 · SEC 801-70755
60 BROAD ST., 39TH FLOOR, NEW YORK, NY, 10004, United States
Phone
212-320-2000
Fax
212-320-3040
Registration
Registered (APPROVED)
Source
SEC registered
Total AUM
$546.0M
Discretionary AUM
$511.1M
Team
25 total employees; 15 advisory reps
Clients
—
Fees
Percentage of AUM; Fixed fees
Org form
Limited Liability Company
Filing date
2026-03-17
Disciplinary history
No
Services
Portfolio management (individuals)
Client types
| Type | Clients | AUM |
|---|---|---|
| Individuals | 416 | $78.5M |
| High net worth individuals | 164 | $419.0M |
| Corporations/business entities | 6 | $37.2M |
States served
VT, AZ, CA, DE, DC, GA, MD, MA, NJ, NY, NC, PA, VA, TX, CT, FL
All web addresses on file
Official SEC filing: View on IAPD