CRD: 149021
Wellington Shields & Co., LLC
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- Custodian
- Pershing
- Clients
- Retail and Institutional
- Platforms
- Available
- Established Date
- 10-21-2009
- Office Locations
- 5
Office Locations
About Wellington Shields & Co., LLC
Wellington Shields is a New York-based wealth manager with roots dating to 1925, providing comprehensive, goals-based planning and portfolio management for individuals, families, and businesses. The firm emphasizes capital preservation and opportunity capture across markets, with investment implementation that includes ETFs and fixed income. Notable for its BNY Pershing partnership and a modern client experience with 24/7 access plus eMoney and Black Diamond tools.
Team overview
Insights
Asset Classes
Client Personas
Custodian
Investment Themes
Investment Vehicles
Platform
Services
Technology
Owner & Executives
JOSEPH NICHOLAS CEMBROLA
Vice President Operations
- CRD
- #2310761
- Ownership
- Less than 5%
PHILIP MICHAEL CURCURU
Chief Financial Officer, Chief Operating Officer, CONTROLLER, Secretary, TREASURER, Vice President
- CRD
- #4170350
- Ownership
- Less than 5%
Showing 2 of 10 owners & executives
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JEROME BALLAN
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- CRD
- #11411
JOSEPH BARBERA
Wealth Management Associate
- CRD
- #7622118
Showing 2 of 50 contacts
Unlock allAssets Under Management
| Category | Assets | AVG. Account size |
|---|---|---|
| Discretionary | $511,138,228 | $872,250 |
| Non-Discretionary | $34,826,186 | $4,975,169 |
| Total | $545,964,414 | $920,682 |
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Separately Managed Accounts
Total SMA Asset: Available
| Asset class | Assets | Assets % |
|---|---|---|
| Equity - Exchange | Available | Available |
| Cash | Available | Available |
| U.S. Government/Agency | Available | Available |
| Public Funds | Available | Available |
| Corporate - Investment Grade | Available | Available |
| Equity - OTC | Available | Available |
| Municipal Bonds | Available | Available |
| Total | Available | Available |
13F Holdings | Q1 2026
| Issuer | Class | CUSIP | Ticker | % | Value |
|---|---|---|---|---|---|
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
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