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

Sep 25, 1996earliest registration or exam on IAPD

Years in industry

29derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

2

Current registrations

2

Registered states

2

Exams

S65|S63

First exam

Sep 25, 1996

First registration

Aug 28, 2002

Dual registered

yes, broker-dealer

IAPD individual key

445603

Graph

RIA / Wealth Management

Canonical id

dfx:ria:bfc5eb95-d10a-2db7-a6b8-3fccdb00d18c

First observed

Aug 28, 2002

Last observed

Sep 15, 2026 4 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.