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Noel Kezsbom

Wellington Shields & CO., LLC
57 Years of Experience
New York, NY
1 DisclosureBroker
View SEC Summary
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Noel Kezsbom is a registered investment advisor at Wellington Shields & CO., LLC, based in New York, NY, with 57 years of industry experience. Noel 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
—
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Location

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

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History

Regulatory History (1)
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.
Employment Separation After Allegations
August 1977
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Employment History
Current Registrations
Wellington Shields & CO., LLC
October 2018 - Present · 8 yrs
Wellington Shields & CO., LLCBroker
October 2018 - Present · 8 yrs
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

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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