James Edward Fahey

Wellington Shields & CO., LLC

34 Years of Experience

5 DisclosuresBroker

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

63 Forest Avenue, Locust Valley, NY, 11560

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History

Regulatory History (5)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

June 2019

Withdrawn

Financial

April 2016

Final

Customer Dispute

November 2012

Closed-No Action

Customer Dispute

July 2012

Denied

Customer Dispute

July 2008

Denied

View Full SEC Report How to Read Disclosures

Employment History

Current Registrations

Wellington Shields & CO., LLC

February 2017 - Present · 9 yrs

Wellington Shields & CO., LLCBroker

November 2016 - Present · 9 yrs 3 mos

Previous Registrations

Oppenheimer & CO. INC.

October 2012 - November 2016 · 4 yrs 1 mo

Oppenheimer & CO. INC.Broker

September 2012 - November 2016 · 4 yrs 2 mos

Merrill Lynch, Pierce, Fenner & Smith Incorporated

July 2005 - September 2012 · 7 yrs 2 mos

Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker

July 2005 - September 2012 · 7 yrs 2 mos

Citigroup Global Markets INC.Broker

July 1993 - July 2005 · 12 yrs

Lehman Brothers INC.Broker

December 1991 - July 1993 · 1 yr 7 mos

State Registrations6 states

CACTFLNJNYPA

AdvisorBrokerBoth

Exams

No exam information available for this advisor.