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Patricia Diane Powell

Wellington Shields & CO., LLC
28 Years of Experience
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Wellington Shields & CO., LLC
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
29 advisors
Number of Clients
519 clients
Average Client Portfolio
$907K average
Assets Under Management
$470.9M

Fee Structure

Financial Planning:Investment management only

Location

140 North Broad Street, Thomasville, GA, 31792

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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 & CO., LLC
February 2015 - Present · 11 yrs
Wellington Shields & CO., LLCBroker
December 2014 - Present · 11 yrs 2 mos
Previous Registrations
Suntrust Investment Services, INC.
June 2006 - April 2014 · 7 yrs 10 mos
Suntrust Investment Services, INC.Broker
June 2006 - April 2014 · 7 yrs 10 mos
VALIC Financial Advisors, INC.
November 1997 - June 2006 · 8 yrs 7 mos
VALIC Financial Advisors, INC.Broker
September 1997 - June 2006 · 8 yrs 9 mos
The Variable Annuity Marketing CompanyBroker
June 1996 - December 2001 · 5 yrs 6 mos
State Registrations3 states
FLGAMI
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Patricia Diane Powell - Financial Advisor | TrueAdvisor