Mark Sperry
Mark Sperry is a registered investment advisor at Wellington Shields Capital Management, LLC, based in New York, NY, with 40 years of industry experience. Mark operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 523 clients with $1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Wellington Shields Capital Management charges an annual investment management fee based on a percentage of the assets they manage. The exact fee schedule may vary depending on the specific portfolio manager handling the account.
For equity and balanced portfolios, the fee ranges from 0.20% up to 1.50% per year. For fixed income portfolios, the fee ranges from 0.20% up to 0.75% per year. Fees are paid quarterly in arrears, either withdrawn directly from the client's account or billed directly to the client.
Location
60 Broad Street, 39th Floor, New York, NY, 10004
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Regulatory History (1)
Customer Dispute
May 2015Other Business Activities
Mark works as a portfolio manager at Wellington Shields Capital Management, a registered investment advisor. This role is investment-related and takes nearly full-time hours.
Employment History
Current Registrations
Wellington Shields Capital Management, LLC
Wellington Shields & CO., LLC
Wellington Shields & CO., LLC
Wellington Shields & CO., LLCBroker
Previous Registrations
H. G. Wellington & CO. INC. Capital Management Division
H. G. Wellington & CO., INC.Broker
Stillman, Maynard & CO.Broker
State Registrations18 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.