DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Advisor moves

Arrivals at Wellington Shields & Co., LLC

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

AdvisorFromToTypeLeftRegistered
Joseph BarberaFidelity Personal And Workplace Advisors BD affiliatedWellington Shields & Co., LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 10, 2023Jun 6, 2023
Steven Marc HeinowitzCitigroup Global Markets Inc. BD affiliatedWellington Shields & Co., LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 12, 2019Sep 4, 2019
Noel KezsbomJanney Montgomery Scott LLC BD affiliatedWellington Shields & Co., LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 22, 2018Oct 19, 2018
Mark Donald PankoffOppenheimer & Co. Inc. BD affiliatedWellington Shields & Co., LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 29, 2018Jul 9, 2018
James Edward FaheyOppenheimer & Co. Inc. otherWellington Shields & Co., LLC otherOtherNov 11, 2016Feb 7, 2017 (88 d)
Anthony Joseph DapratoRBC Capital Markets, LLC national BDWellington Shields & Co., LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 27, 2015Sep 3, 2021 (2291 d)
Patricia Diane PowellSuntrust Investment Services, Inc. otherWellington Shields & Co., LLC otherOtherApr 8, 2014Feb 16, 2015 (314 d)
Deborah Beaufait GaskinsShields & Company unclassifiedWellington Shields & Co., LLC otherOtherFeb 7, 2011Mar 9, 2010
Philip Francis WalkleyH. G. Wellington & Co., Inc. unclassifiedWellington Shields & Co., LLC otherOtherDec 31, 2010Mar 9, 2010
Georges Carter BoyerH. G. Wellington & Co., Inc. unclassifiedWellington Shields & Co., LLC otherOtherDec 31, 2010Mar 9, 2010
Mark Porter SperryH. G. Wellington & Co., Inc. unclassifiedWellington Shields & Co., LLC otherOtherDec 31, 2010Mar 26, 2010
Terence William BroganH. G. Wellington & Co., Inc. unclassifiedWellington Shields & Co., LLC otherOtherDec 31, 2010Mar 9, 2010
Kristina Metz FurnariH. G. Wellington & Co., Inc. unclassifiedWellington Shields & Co., LLC otherOtherDec 31, 2010Mar 9, 2010
Scott Robert PurintonH. G. Wellington & Co., Inc. unclassifiedWellington Shields & Co., LLC otherOtherDec 31, 2010Mar 26, 2010
Alexander Maclin CrippsH. G. Wellington & Co., Inc. unclassifiedWellington Shields & Co., LLC otherOtherDec 31, 2010Mar 29, 2010
Michael Gregory DickersonH. G. Wellington & Co., Inc. unclassifiedWellington Shields & Co., LLC otherOtherDec 31, 2010Mar 9, 2010
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16 moves match.