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James Fahey

Wellington Shields & CO., LLC
34 Years of Experience
Locust Valley, NY
4 DisclosuresBroker
View SEC Summary
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James Fahey is a registered investment advisor at Wellington Shields & CO., LLC, based in Locust Valley, NY, with 34 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management. Their firm serves 586 clients with $550M in assets under management.

Wellington Shields & CO., LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
29 advisors
Number of Clients
586 clients
Average Client Portfolio
$932K average
Assets Under Management
$546.0M

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.50%

Annual fees range from 0.20% up to 1.50% for equity and balanced portfolios, and 0.20% up to 0.75% for fixed income portfolios. All fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

63 Forest Avenue, Locust Valley, NY, 11560

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History

Regulatory History (4)
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Withdrawn
Customer Dispute
November 2012
Closed-No Action
Customer Dispute
July 2012
Denied
Customer Dispute
July 2008
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Wellington Shields & CO., LLC
February 2017 - Present · 9 yrs 8 mos
Wellington Shields & CO., LLCBroker
November 2016 - Present · 9 yrs 11 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

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
No exam information available for this advisor.
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