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Financial ADVSR advisor directory · SEC adviser records

Wellington Shields Capital Management, LLC financial advisors in New York, NY

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

The short answer

11 registered advisors work at Wellington Shields Capital Management, LLC in New York, out of 11 at the firm nationwide; it ranks number 114 in the city by advisors. 0 list the CFP designation and 10 are also registered broker representatives.

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

Every Wellington Shields Capital Management, LLC advisor →

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

Wellington Shields Capital Management, LLC advisors in other cities

Locust Valley, NY 1

Other firms in New York

All New York advisors →

Merrill Lynch, Pierce, Fenner & Smith Incorporated 2,514Morgan Stanley 2,116J.P. Morgan Securities LLC 1,933UBS Financial Services Inc. 953Citigroup Global Markets Inc. 624Neuberger Berman Bd LLC 508Cerity Partners LLC 363Wells Fargo Clearing Services, LLC 324Equitable Advisors, LLC 313Oppenheimer & Co. Inc. 223MML Investors Services, LLC 161Rockefeller Financial LLC 159

Questions

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

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

Is Wellington Shields Capital Management, LLC one of the largest advisor employers in New York?

Wellington Shields Capital Management, LLC ranks number 114 in New York by registered advisors; Merrill Lynch, Pierce, Fenner & Smith Incorporated has the most, with 2,514.

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. Weighing a move? Compare payouts by firm or value a recruiting offer.