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Anthony Joseph Daprato

Wellington Shields & CO., LLC
39 Years of Experience
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Wellington Shields & CO., LLC
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
29 advisors
Number of Clients
519 clients
Average Client Portfolio
$907K average
Assets Under Management
$470.9M

Fee Structure

Financial Planning:Investment management only

Location

60 Broad Street, 39th Floor, New York, NY, 10004

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History

Regulatory History
Clean regulatory record

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.

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Employment History
Current Registrations
Wellington Shields & CO., LLC
September 2021 - Present · 4 yrs 5 mos
Wellington Shields & CO., LLCBroker
December 2015 - Present · 10 yrs 2 mos
Previous Registrations
RBC Capital Markets, LLC
June 2010 - May 2015 · 4 yrs 11 mos
RBC Capital Markets, LLCBroker
June 2010 - May 2015 · 4 yrs 11 mos
J.P. Morgan Securities INC.Broker
March 1998 - June 2010 · 12 yrs 3 mos
J.P. Morgan Clearing CORP.Broker
March 1998 - December 2008 · 10 yrs 9 mos
Royal Alliance Associates, INC.Broker
November 1989 - February 1998 · 8 yrs 3 mos
Integrated Resources Equity CorporationBroker
March 1986 - November 1989 · 3 yrs 8 mos
State Registrations1 state
NY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.