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Eileen Connolly

Wellington Shields Capital Management, LLC
28 Years of Experience
New York, NY
Broker
View SEC Summary
View SEC Summary

Eileen Connolly is a registered investment advisor at Wellington Shields Capital Management, LLC, based in New York, NY, with 28 years of industry experience. Eileen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management. Their firm serves 574 clients with $1.2B in assets under management.

Wellington Shields Capital Management, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12 advisors
Number of Clients
574 clients
Average Client Portfolio
$2.0M average
Assets Under Management
$1.2B

Fee Structure

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

Rates range from 0.20% to 1.50% for equity and balanced portfolios, and 0.20% to 0.75% for fixed income portfolios. Fees are negotiable.

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

Location

60 Broad St., 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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Other Business Activities

Eileen works as a fixed income trader for Capital Management Associates, Inc. and Wellington Shields Capital Management, both registered investment advisors.

Employment History
Current Registrations
Wellington Shields Capital Management, LLC
March 2020 - Present · 6 yrs 7 mos
Wellington Shields & CO., LLCBroker
November 2009 - Present · 16 yrs 11 mos
Previous Registrations
Shields & CompanyBroker
October 2001 - December 2009 · 8 yrs 2 mos
Dominick & Dominick LLCBroker
July 1999 - October 2001 · 2 yrs 3 mos
Sg Cowen Securities CorporationBroker
July 1998 - July 1999 · 1 yr
Cowen & CO.Broker
April 1998 - July 1998 · 3 mos
State Registrations28 states
AZCACOCTDEFLGAILKYMAMDMEMIMOMTNCNJNMNYORPASCTNTXVAVTVirgin IslandsWV
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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