Back to top

Wellington Shields Capital Management, LLC

Wellington Shields Capital Management, LLC

Overview

Articles

Insights

There are no insights from this firm to display at this time.

Assets

Assets

Last updated on Aug. 20, 2016
    • $933.3M
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 588
      Accounts
    • $1.6M
      Estimated Average Account Balance

Services

Firm Services

There is no Services data available to display at this time.

Firm Client types

Advisors

Current Advisors

# of advisors

4

name start date
Roberta Kay Stafford
July 2011
Charles Richard Thompson
April 2012
Mark Porter Sperry
January 2016
Kristina Metz Furnari
March 2012

    Affiliated Investment Advisors and Broker Dealers

    Name Type Total Assets
    Capital Management Associates Inc IAR $133,915,214
    Wellington Shields & Co., LLC Dual Registrant $258,372,152

      Leadership

      Ownership

      There is no ownership data available to display at this time.

      Executives and Control Persons

      Name Title Tenure Date % Ownership
      David Vincent Shields Co-Ceo October, 2009 25% to 50%
      Ralph Joseph Scarpa Elected Manager October, 2009 less than 5%
      Paul Immo Gulden Elected Manager October, 2009 less than 5%
      Stephen John Portas Chief Compliance Officer March, 2013 less than 5%
      Philip Michael Curcuru Vp And Controller January, 2014 less than 5%
        Source: SEC

        Fees

        Types of Compensation Arrangements

        • Percentage Of Assets
        • Fixed Fees