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WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC

NEW YORK, NY · CRD 150529 · IAPD ↗ · wellingtonshields.com · 212-320-3000

$1.17BRegulatory AUM
13Advisory reps
20Employees
0Clients
n/aPlanning clients
0Private funds
21States
1Disclosures
wealthSegment
ApprovedSEC status

Filing changes

85
April 2026 — WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC crossed $1B in regulatory AUM ($999.7M -> $1.17B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting

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