This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

WELLINGTON SHIELDS & CO., LLC

Current firm class

independent wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

May 3, 1985earliest registration or exam on IAPD

Years in industry

41derivedfrom the industry start date

Years at current firm

16derivedfrom the current registration's begin date

Prior firms

1

Current registrations

2

Registered states

3

Exams

S63|S65

First exam

May 3, 1985

First registration

Nov 7, 2007

Dual registered

yes, broker-dealer

IAPD individual key

1330909

Graph

RIA / Wealth Management

Canonical id

dfx:ria:1b7834bb-bc60-feb7-dde2-97a101898a66

First observed

Nov 7, 2007

Last observed

Sep 14, 2026 7 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.