Guy Maxwell Ule

Wellington Shields & CO., LLC

53 Years of Experience

2 DisclosuresBroker

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

60 Broad Street, 39th Floor, New York, NY, 10004

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History

Regulatory History (2)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

April 2012

Award / Judgment

Customer Dispute

March 2011

Settled

View Full SEC Report How to Read Disclosures

Employment History

Current Registrations

Wellington Shields & CO., LLC

January 2022 - Present · 4 yrs 1 mo

Wellington Shields & CO., LLC

November 2009 - Present · 16 yrs 3 mos

Wellington Shields & CO., LLCBroker

November 2009 - Present · 16 yrs 3 mos

Previous Registrations

Shields & CompanyBroker

November 2000 - December 2009 · 9 yrs 1 mo

Herzog, Heine, Geduld, INC.Broker

July 1989 - January 2001 · 11 yrs 6 mos

Meyers Pollock Robbins, INC.Broker

November 1987 - July 1989 · 1 yr 8 mos

Ingham, Becker & CO., INC.Broker

August 1985 - January 1988 · 2 yrs 5 mos

Rosenkrantz, Ehrenkrantz, Lyon & Ross IncorporatedBroker

January 1978 - February 1985 · 7 yrs 1 mo

Daley & CompanyBroker

November 1972 - February 1978 · 5 yrs 3 mos

Source Securities CorporationBroker

March 1972 - October 1972 · 7 mos

State Registrations24 states

AZCACOCTFLGAILMAMDMIMNMTNJNVNYOHOKPARISCTXVAVTWY

AdvisorBrokerBoth

Exams

No exam information available for this advisor.