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WELLINGTON SHIELDS & CO., LLC
CRD 149021File 801-70755
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Mar 17, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$546.0M
Above cohort median (national)
Discretionary AUM
$511.1M
Non-discretionary $34.8M
Clients
586
593 accounts
Employees
25
Below cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Mar 9, 2010
- Principal office
- 60 BROAD ST., 39TH FLOOR, NEW YORK, NY, 10004
- Phone
- 212-320-2000
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $546.0M
- Discretionary AUM
- $511.1M
- Non-discretionary AUM
- $34.8M
- Discretionary accounts
- 586
- Non-discretionary accounts
- 7
- Total accounts
- 593
- AUM per client
- $932K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 6 | $37.2M |
| Charitable organizations | Fewer than 5 | $10.0M |
| High net worth individuals | 164 | $419.0M |
| Pension and profit sharing plans | Fewer than 5 | $1.3M |
| Individuals (other than high net worth individuals) | 416 | $78.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11E2
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.