A complete list of active advisors currently associated with Wellington Shields Capital Management, LLC

Warmer can help you find a great advisor at Wellington Shields Capital Management, LLC or one who fits your needs even better.

Wellington Shields Capital Management provides discretionary and non-discretionary portfolio management to individuals (including high-net-worth clients), trusts, estates, pension and profit-sharing plans, and other institutional clients. The firm manages approximately $1.17 billion across several hundred client accounts and also offers a wrap-fee program that covers equity, balanced and fixed-income mandates. Investment decisions combine fundamental and technical analysis, charting, and both long- and short-term strategies, and portfolios may employ options and margin/borrowing where appropriate. WSCM also uses third‑party managers for certain mandates and conducts due diligence and ongoing monitoring of managers’ holdings, concentrations and leverage as part of its risk assessment. What differentiates the firm from many peers is its affiliation with a dually registered broker‑dealer and with related investment-advisory entities, and its custody/clearing relationship with BNY Pershing, arrangements that generate commissions, asset credits and other revenue streams that are disclosed and managed as potential conflicts. The firm’s combination of hosting a wrap-fee program, using derivatives and borrowing in separately managed accounts, and formal procedures (including surprise custody audits tied to affiliated clearing arrangements) are noteworthy operational features relative to typical team firms.

To learn more about the advisors currently working at Wellington Shields Capital Management, LLC, click on their names below to view their profiles, or click here to see them all on a map. Or, if you tell us about your needs, Warmer can help you find the best advisor for you.