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David Vincent Shields

Wellington Shields Capital Management, LLC
59 Years of Experience
1 DisclosureBroker
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Wellington Shields Capital Management, LLC
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
12 advisors
Number of Clients
523 clients
Average Client Portfolio
$1.9M average
Assets Under Management
$999.7M

Fee Structure

Financial Planning:Investment management only

Location

60 Broad St., 39th Floor, New York, NY, 10004

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History

Regulatory History (1)
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Customer Dispute
December 2002
Award / Judgment
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Other Business Activities

David is an interested trustee for Capital Management Investment Trust, overseeing fund activity since 1994. He also serves as a managing director for Wellington Shields Capital Management and a director for Capital Management Associates, Inc., both registered investment advisors, overseeing firm activities since 2010 and 1982 respectively.

Employment History
Current Registrations
Wellington Shields Capital Management, LLC
August 2021 - Present · 4 yrs 6 mos
Wellington Shields & CO., LLCBroker
November 2009 - Present · 16 yrs 3 mos
Previous Registrations
Shields & CompanyBroker
July 1966 - December 2009 · 43 yrs 5 mos
State Registrations10 states
CADCFLGAIAKYNYPATXUT
AdvisorBrokerBoth
Exams
No exam information available for this advisor.