Saturday, October 24, 2026The Morning EditionOpen AtlasSign inJoin free
FinancialADVSR

Est. 2026The front page of wealth managementNew York

The Morning EditionFree · 6:30 AM ETSubscribe
RB Schwab trumpeted Anthropic's Claude for all 16,000 of its RIAs, but a 20-seat enterprise minimum suddenly sidelines 11,000-plus small firms -- right before IMPACT 2026FP Do smaller RIAs really need to own their data?RB Bank of America analyst 'double' slams Ameriprise not least because RIA 'structural' advantage triggered proactive in-house retention bonuses that take a bite out of margins and may not retain big teams long-termIN Trump to ease 50% Canada tariffs on farm equipment, packaging goodsWM The New Rules of Record Keeper SelectionWM SEC Examiners' 2027 Focus Includes Firms' Protections Against AI Phishing, DeepfakesIN People moves: RBC taps Raymond James veteran for Texas complexWM Lido CEO Signals Openness to International Expansion4K SEC Targets Private Markets, AI and Fiduciary Risks Among 2027 Exam PrioritiesIN RIA M&A runs up to 5x reported totals, Steward Partners CEO says

Financial ADVSR advisor directory · SEC adviser records

Wellington Shields Capital Management, LLC financial advisors in New York

Every SEC-registered investment adviser representative at a Wellington Shields Capital Management, LLC office in New York, by city and A to Z.

The short answer

11 registered advisors work at Wellington Shields Capital Management, LLC in New York, out of 11 nationwide; it's the firm's number 1 state by advisors, and the most are in New York (11). 0 list the CFP designation and 10 are also registered broker representatives.

Wellington Shields Capital Management, LLC advisors by city in New York

Every firm in New York →

New York 11

Wellington Shields Capital Management, LLC advisors in New York, A to Z

Search by name →

Wellington Shields Capital Management, LLC advisors in every state →Wellington Shields Capital Management, LLC: assets, clients and custodians →Advisor Moves: who changed firms this week →

Questions

How many Wellington Shields Capital Management, LLC financial advisors are in New York?

11 investment adviser representatives are registered at Wellington Shields Capital Management, LLC offices in New York, according to the SEC's Investment Adviser Public Disclosure records, out of 11 at the firm nationwide. 0 list the CFP designation and 10 are also registered as broker representatives.

Where in New York does Wellington Shields Capital Management, LLC have the most advisors?

New York, with 11. Wellington Shields Capital Management, LLC has advisors in 1 city in New York.

How do I check a Wellington Shields Capital Management, LLC advisor in New York?

Each advisor below links to a profile with their registrations, exams, designations and how long they've been registered, plus links to the SEC's adviser search and FINRA BrokerCheck, where any disclosures are listed in full.

Source: the SEC's Investment Adviser Public Disclosure daily file. Advisors are listed at the city of the Wellington Shields Capital Management, LLC office they're registered at; broker-only representatives (FINRA BrokerCheck) aren't included.