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NK

Noel Kezsbom

Wellington Shields & CO., LLC
56 Years of Experience
1 DisclosureBroker
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 (1)
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Employment Separation After Allegations
August 1977
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Wellington Shields & CO., LLCBroker
October 2018 - Present · 7 yrs 4 mos
Wellington Shields & CO., LLC
October 2018 - Present · 7 yrs 4 mos
Previous Registrations
Janney Montgomery Scott LLC
June 2007 - October 2018 · 11 yrs 4 mos
Janney Montgomery Scott LLCBroker
February 2003 - October 2018 · 15 yrs 8 mos
RBC Dain Rauscher INC.Broker
March 2002 - March 2003 · 1 yr
Tucker Anthony IncorporatedBroker
February 1988 - March 2002 · 14 yrs 1 mo
L. F. Rothschild & CO. IncorporatedBroker
November 1980 - February 1988 · 7 yrs 3 mos
Prescott, Ball & TurbenBroker
August 1978 - December 1980 · 2 yrs 4 mos
Prescott, Ball & TurbenBroker
October 1977 - August 1978 · 10 mos
Moore & Schley, Cameron & CO.Broker
August 1976 - October 1977 · 1 yr 2 mos
Moore & Schley, Cameron & CO.Broker
October 1973 - September 1974 · 11 mos
Heine, Fishbein & CO INCBroker
August 1973 - September 1976 · 3 yrs 1 mo
Herold Kastor & Gerald IncorporatedBroker
July 1969 - September 1973 · 4 yrs 2 mos
State Registrations9 states
CAFLMDNCNJNYOHPAVA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.