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 CAPITAL MANAGEMENT, 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

Nov 22, 1994earliest registration or exam on IAPD

Years in industry

31derivedfrom the industry start date

Years at current firm

5derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

1

Exams

S65

First exam

Nov 22, 1994

First registration

Jul 19, 2012

Dual registered

no

Other names

JOHN MARX GEZA

IAPD individual key

2836839

Graph

RIA / Wealth Management

Canonical id

dfx:ria:65996f99-8bed-e6e9-1b94-dc6d24c5d753

First observed

Jul 19, 2012

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.