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WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
CRD 150529 · SEC 801-70712
60 BROAD ST., 39TH FLOOR, NEW YORK, NY, 10004, United States
Phone
212-320-3000
Fax
212-320-3040
Registration
Registered (APPROVED)
Source
SEC registered
Total AUM
$1.17B
Discretionary AUM
$1.05B
Team
20 total employees; 13 advisory reps
Clients
—
Fees
Percentage of AUM; Fixed fees
Org form
Limited Liability Company
Filing date
2026-03-24
Disciplinary history
No
Services
Portfolio management (individuals)Portfolio management (institutions)
Client types
| Type | Clients | AUM |
|---|---|---|
| Individuals | 271 | $65.7M |
| High net worth individuals | 273 | $811.3M |
| Charitable organizations | 14 | $212.6M |
| Corporations/business entities | 16 | $77.2M |
States served
VT, AZ, CA, CO, DE, DC, GA, ME, MD, MA, NJ, NY, NC, PA, SC, TN, VA, TX, NH, CT, FL
All web addresses on file
Official SEC filing: View on IAPD