Deborah Gaskins is a registered investment advisor at Wellington Shields & CO., LLC, based in New York, NY, with 35 years of industry experience. Deborah operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 519 clients with $470M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Wellington Shields & Co. charges an annual fee based on a percentage of the assets they manage. The exact percentage varies depending on the portfolio manager and the type of portfolio:
- Equity and Balanced Portfolios: 0.20% up to 1.50% per year
- Fixed Income Portfolios: 0.20% up to 0.75% per year
The fee is calculated quarterly based on the value of the account and is paid in arrears. Fees are negotiable and may vary based on client type, pre-existing relationships, assets under management, and service requirements. The P.G. Group of WSC has a slightly different fee schedule.
Location
60 Broad Street, 39th Floor, New York, NY, 10004
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Deborah works in client servicing at Wellington Shields Capital Management, a registered investment advisor. This activity is investment-related.
Employment History
Current Registrations
Wellington Shields & CO., LLC
Wellington Shields & CO., LLCBroker
Previous Registrations
Shields Capital Corporation
Shields Capital Corporation
Shields & CompanyBroker
Suntrust Securities, INC.Broker
Shields & CompanyBroker
First Union Brokerage Services, INC.Broker
Prudential Securities IncorporatedBroker
State Registrations39 states
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