TrueAdvisor
TrueAdvisor
MP
MP

Mark Donald Pankoff

Wellington Shields & CO., LLC
15 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
July 2018 - Present · 7 yrs 7 mos
Wellington Shields & CO., LLCBroker
July 2018 - Present · 7 yrs 7 mos
Previous Registrations
Oppenheimer & CO. INC.
March 2011 - June 2018 · 7 yrs 3 mos
Oppenheimer & CO. INC.Broker
November 2010 - June 2018 · 7 yrs 7 mos
State Registrations22 states
CACTDCDEFLGAKSMAMDMEMIMONHNJNYOHPARISCTXVAWA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.