Wellington Shields & Co LLC

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Assets, Funds, Holdings

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Wellington Shields & Co LLC
CRD #149021
SEC #801-70755
CIK #0001506073
AUM $382.8 MM (2023-03-22)
Employees 23 (57% Investors, 74% Brokers)
Phone212-320-3000
Address140 Broadway
New York, NY 10005
Source [IAPD] [EDGAR] [Website] [LinkedIn]
Total AUM ($MM)
4503602701809002009201420192024
Sector Form 13F Holdings Cap ($MM) Value ($MM)
FLO 5,544.9 187.7
MSFT 1,918,222.4 20.3
AAPL 2,382,844.0 18.3
ILMN 29,445.3 13.8
JPM 340,169.2 6.3
XOM 385,508.3 5.8
ABBV 269,466.6 5.5
LLY 301,789.7 4.7
HON 119,775.0 4.1
UNP 133,995.4 3.7
View All
Holdings by Sector ($MM)
60048036024012002011201520192024
AUM Breakdown Accounts AUM ($MM)
By Client Type
(a) Individuals (other than high net worth individuals) 279 44.9
(b) Individuals (high net worth individuals) 125 302.2
(c) Banking or thrift institutions 0 0.0
(d) Investment companies 0 0.0
(e) Business development companies 0 0.0
(f) Pooled investment vehicles 0 0.0
(g) Pension and profit sharing plans 0 0.1
(h) Charitable organizations 0 7.2
(i) State or municipal government entities 0 0.0
(j) Other investment advisers 0 0.0
(k) Insurance companies 0 0.0
(l) Sovereign wealth funds and foreign official institutions 0 0.0
(m) Corporations or other businesses not listed above 7 28.5
(n) Other 0 0.0
Total 415 382.8
By Discretionary
Discretionary 408 350.5
Non-Discretionary 7 32.4
Total 415 382.8
By Non-United States Persons
Non-United States Persons 10.0
United States Persons 372.8
Total 415 382.8
EDGAR Form CIK 2011 - 2024
13F-HR [0001506073]
Related Firms State AUM ($BB)
Wellington Management Company LLP
MA 1,204.7
Wellington Management International Limited
101.3
Wellington Alternative Investments LLC
MA 43.4
Wellington Management Singapore PTE Ltd
29.4
Wellington Management Japan PTE Ltd
19.0
Wellington Management Hong Kong Limited
13.4
Wellington Funds US LLC
MA 5.2
Wellington Shields Capital Management LLC
NY 1.0
Wellington Consulting Services Inc
VA 1.0
Wellington Shields & Co LLC
NY 0.4
Wellington-Altus USA Inc
0.0
Wellington Management Co LLP
MA 0.0
Comparable Firms State AUM ($BB)
Financial Connections Group Inc
CA 0.4
Keel Wealth Management LLC
TX 0.4
Fischer Investment Group Inc
NY 0.4
Investment Advisory Services Inc
TX 0.4
Karpas Strategies LLC
CT 0.4
Allen Wealth Management LLC
NC 0.4
Walter C Flower & Co Inc
LA 0.4
Bromfield Sneider Wealth Advisors Inc
MA 0.4
Financial Designs Corporation
CA 0.4
McCollum Christoferson Group LLC
NY 0.4
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