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Building 2WELLINGTON SHIELDS & CO., LLC

Map pinNEW YORK, NY
Phone212-320-2000
NotebookSEC #801-70755
Total AUM
$546M
Employees
25
Clients
588

Firm overview

UsersClient Breakdown by AUM

Circle dollar signAUM previous 5 years

Smooth Smooth / Detailed

HotelBusiness

Principal Address
60 BROAD ST.
39TH FLOOR
NEW YORK
NY 10004
United States
Operating Hours
9:00 AM - 5:00 PM
Monday - Friday
Phone
212-320-2000
Other Offices
2

ReceiptFinancials

Total AUM
$546M
Accounts
593
Discretionary
$511.1M
Accounts
586
Non-Discretionary
$34.8M
Accounts
7

ContactClients

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Individual Clients
416
AUM
$78.5M
HNW Individual Clients
164
AUM
$419M
Pension/Profit Sharing Plan Clients
1
AUM
$1.3M
Charitable Organization Clients
1
AUM
$10M
Corporation or Business Clients
6
AUM
$37.2M

Briefcase businessServices

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Services Offered
Individual Portfolio Management
Compensation Types
Charges Fixed FeeCharges Percentage AUM

Shield checkCompliance

Disclosures
SRO Rule Violation
State Registrations
AZCACTDCDEFLGAMAMDNCNJNYPATXVAVT

HandshakeAffiliates

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Affiliates
Reported 3 business affiliates.
Claimed Affiliates
Reported as an affiliate by 4 other businesses.

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