Elected Manager · Wellington Shields Capital Management, LLC
Paul Immo Jr Gulden
CRD 231863 · Named on Form ADV at 2 SEC-registered advisers
At a glance
Wellington Shields Capital Management, LLC, an SEC-registered wealth manager based in New York, NY with $1.2 billion in regulatory assets, lists Paul Immo Jr Gulden on its Form ADV as Elected Manager, a control person. The SEC filings also name Paul at 1 other registered adviser.
Firms and roles
- Wellington Shields Capital Management, LLCElected ManagerWealth manager · New York, NY · $1.2B in regulatory assets
- Wellington Shields & Co., LLCManaging MemberBroker-dealer firm · New York, NY · $546M in regulatory assets
AtlasMembers
Paul’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at each firm
- 2 firmsLocked
- Control-person status
- 2 firmsLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 2021 (5 years)
- Designations
- None on file
- Exams
- Series 63
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Paul’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- Locked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings (9)
- Stephen John PortasChief Compliance Officer, Wellington Shields Capital Management, LLC
- Philip Michael CurcuruVP and Controller, Wellington Shields Capital Management, LLC
- David Vincent ShieldsChairman, Wellington Shields Capital Management, LLC
- William Jameson McFaddenCEO, Secretary, Wellington Shields Capital Management, LLC
- Joseph Nicholas CembrolaMember Operations, Wellington Shields & Co., LLC
4 more people named with Paul on the same filings, with titles and firms. Free in Atlas with a free account.
See all 9 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Paul’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.