A complete list of active advisors currently associated with Wellington Shields & Co., LLC

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

Wellington Shields & Co. provides discretionary and non‑discretionary portfolio management to a range of clients including individuals, corporations, trusts, estates, pension and profit‑sharing plans, and charitable organizations. The firm offers multiple execution and servicing options, including a wrap‑fee program and a commission‑based Advisory Brokerage Group, and it introduces customers to a clearing agent for custody and trade settlement. WSC’s advisers establish client objectives through a data‑gathering process and implement portfolios using a mix of fundamental and technical analysis, third‑party manager selection, mutual fund/ETF investments, and both long‑ and short‑term strategies (including options and margin where appropriate). Accounts are monitored on an ongoing basis with periodic formal reviews and regular custodial statements provided to clients. The firm’s dual registration as an investment adviser and broker‑dealer is a prominent feature: WSC executes client trades through its broker‑dealer operations, receives transaction‑based commissions, and discloses revenue sharing and asset credits from its clearing firm (BNY Pershing), as well as related affiliate relationships and sponsored investment vehicles. The brochure also discloses regulatory actions in WSC’s broker‑dealer capacity and does not describe separate comprehensive financial planning services as part of its advisory offering.

To learn more about the advisors currently working at Wellington Shields & Co., 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.