TrueAdvisor
TrueAdvisor
JK
JK

John Peter Kelly

Wellington Shields Capital Management, LLC
37 Years of Experience
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Wellington Shields Capital Management, LLC
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
12 advisors
Number of Clients
523 clients
Average Client Portfolio
$1.9M average
Assets Under Management
$999.7M

Fee Structure

Financial Planning:Investment management only

Location

60 Broad St., 39th Floor, New York, NY, 10004

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Wellington Shields Capital Management, LLC
August 2021 - Present · 4 yrs 6 mos
Wellington Shields & CO., LLCBroker
November 2009 - Present · 16 yrs 3 mos
Previous Registrations
Shields & CompanyBroker
March 1990 - December 2009 · 19 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1988 - June 1989 · 9 mos
Dillon, Read & CO. INC.Broker
October 1987 - January 1988 · 3 mos
Bear, Stearns & CO. INC.Broker
September 1986 - August 1987 · 11 mos
State Registrations10 states
CACTFLKSMAMENJNYPAVT
AdvisorBrokerBoth
Exams
No exam information available for this advisor.