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| Wellington Shields & Co LLC
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| CRD # | 149021 |
| SEC # | 801-70755 |
| CIK # | 0001506073, 0001450943 |
| AUM | 546.0 M (2026-03-17) |
| Employees | 25 (60% Investors, 76% Brokers) |
| Fees | |
| Minimum | |
| Phone | 212-320-2000 |
| Address | 60 Broad St New York, NY 10004 |
| Source | [IAPD] [EDGAR] [Website] [LinkedIn] |
| Total AUM ($M) |
|---|
| CIK | Period |
|---|---|
| 0001506073 0001450943 |
| Sector | Form 13F Holdings | Value ($M) | |
|---|---|---|---|
| Apple Inc | 27.7 | ||
| Microsoft Corp | 25.8 | ||
| J P Morgan Chase & Co | 14.0 | ||
| Lilly Eli & Co | 11.9 | ||
| Nvidia Corp | 11.9 | ||
| Alphabet Inc | 10.1 | ||
| Caterpillar Inc | 6.7 | ||
| AbbVie Inc | 6.7 | ||
| Amazon Com Inc | 6.4 | ||
| International Business Machines Corp | 6.3 | ||
| Alphabet Inc | 4.8 | ||
| Honeywell International Inc | 4.5 | ||
| Wal Mart Stores Inc | 4.5 | ||
| Union Pacific Corp | 4.2 | ||
| Johnson & Johnson | 4.2 | ||
| Corning Inc /NY | 4.0 | ||
| Blackstone Group LP | 3.8 | ||
| Visa Inc | 3.8 | ||
| Vector Acquisition Corp | 3.7 | ||
| General Electric Co | 3.6 | ||
| Illumina Inc | 3.5 | ||
| Citigroup Inc | 3.5 | ||
| Newmont Mining Corp /DE/ | 3.4 | ||
| Abbott Laboratories | 3.1 | ||
| Kinder Morgan Inc | 3.0 | ||
| Palo Alto Networks Inc | 3.0 | ||
| Broadcom Inc | 2.9 | ||
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| AUM Breakdown | Accounts | AUM ($M) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 416 | 78.5 |
| (b) Individuals (high net worth individuals) | 164 | 419.0 |
| (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 | 1.3 |
| (h) Charitable organizations | 0 | 10.0 |
| (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 | 6 | 37.2 |
| (n) Other | 0 | 0.0 |
| Total | 593 | 546.0 |
| By Discretionary | ||
| Discretionary | 586 | 511.1 |
| Non-Discretionary | 7 | 34.8 |
| Total | 593 | 546.0 |
| By Non-United States Persons | ||
| Non-United States Persons | 1.9 | |
| United States Persons | 544.0 | |
| Total | 593 | 546.0 |
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 13F-HR | [0001506073] |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $0.2B |
| Serves | Retail |
| LEI | 254900ULLOEJ3RYQ9S69 |
| Related Firms | State | AUM |
|---|---|---|
|
Wellington Management Company LLP
✚
|
MA | 1,428.05 B |
|
Wellington Alternative Investments LLC
✚
|
MA | 92.17 B |
|
Wellington Management Japan PTE Ltd
✚
|
17.75 B | |
|
Wellington Management Hong Kong Limited
✚
|
14.15 B | |
|
Wellington Funds US LLC
✚
|
MA | 5,408.1 M |
|
Wellington Consulting Services Inc
✚
|
VA | 1,689.3 M |
|
Wellington Shields Capital Management LLC
✚
|
NY | 1,173.4 M |
|
Wellington Shields & Co LLC
✚
|
NY | 546.0 M |
|
Wellington-Altus USA Inc
✚
|
146.2 M | |
|
Wellington Management Singapore PTE Ltd
✚
|
||
|
Wellington Management Co LLP
✚
|
MA | |
|
Wellington Management International Limited
✚
|
| Comparable Firms | State | AUM |
|---|---|---|
|
Asset Planning Inc
✚
|
CA | 553.5 M |
|
Nexus One Financial Advisors LLC
✚
|
TX | 552.0 M |
|
The Planning Project LLC
✚
|
TX | 551.4 M |
|
Frederick Financial Consultants LLC
✚
|
MD | 551.1 M |
|
IAS Wealth Management Inc
✚
|
TX | 549.0 M |
|
Oneascent Family Office LLC
✚
|
AL | 544.5 M |
|
Fountainhead Financial LLC
✚
|
IL | 543.2 M |
|
Affiliated Financial Advisors Inc
✚
|
WI | 541.5 M |
|
Lawrence W Kelly & Associates Inc
✚
|
CA | 540.1 M |
|
Black Knight Wealth Management LLC
✚
|
539.2 M |