Mark Sperry
Mark Sperry is a registered investment advisor at Wellington Shields Capital Management, LLC, based in Chatham, MA, with 41 years of industry experience. Mark is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management. Their firm serves 574 clients with $1.2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.50% |
Rates range from 0.20% to 1.50% for equity and balanced portfolios, and 0.20% to 0.75% for fixed income portfolios. Fees are negotiable.
Fee Estimator
Location
Chatham, MA
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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.
Exams
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