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Wellington Shields & Co LLC
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CRD # | 149021 |
SEC # | 801-70755 |
CIK # | 0001506073 |
AUM | $382.8 MM (2023-03-22) |
Employees | 23 (57% Investors, 74% Brokers) |
Phone | 212-320-3000 |
Address | 140 Broadway New York, NY 10005 |
Source | [IAPD] [EDGAR] [Website] [LinkedIn] |
Total AUM ($MM) |
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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 ($MM) |
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AUM Breakdown | Accounts | AUM ($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 |