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WELLINGTON SHIELDS & CO., LLC

NEW YORK, NY · CRD 149021 · IAPD ↗ · wellingtonshields.com · 212-320-2000

$546.0MRegulatory AUM
15Advisory reps
25Employees
0Clients
n/aPlanning clients
0Private funds
16States
1Disclosures
wealthSegment
ApprovedSEC status

Filing changes

70
April 2026 — WELLINGTON SHIELDS & CO., LLC crossed $500M in regulatory AUM ($470.9M -> $546.0M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
71
April 2024 — WELLINGTON SHIELDS & CO., LLC grew from 13 to 16 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.