Charles Richard Thompson

Wellington Shields Capital Management, LLC

51 Years of Experience

1 DisclosureBroker

View SEC Summary

Areas of Practice

Investment Management

Wellington Shields Capital Management, LLC

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

12 advisors

Number of Clients

523 clients

Average Client Portfolio

$1.9M average

Assets Under Management

$999.7M

Fee Structure

Financial Planning:Investment management only

Location

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

Get directions

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.

Judgment / Lien

June 2014

View Full SEC Report How to Read Disclosures

Other Business Activities

Charles works as a portfolio manager for Wellington Shields Capital Management Associates, a registered investment advisor, since 2010. This activity is investment-related and takes up nearly all of Charles's time.

Employment History

Current Registrations

Wellington Shields Capital Management, LLC

April 2012 - Present · 13 yrs 10 mos

Wellington Shields & CO., LLC

March 2010 - Present · 15 yrs 11 mos

Wellington Shields & CO., LLC

November 2009 - Present · 16 yrs 3 mos

Wellington Shields & CO., LLCBroker

November 2009 - Present · 16 yrs 3 mos

Previous Registrations

Cobalt Asset Management, LP

March 2006 - December 2015 · 9 yrs 9 mos

H. G. Wellington & CO. INC. Capital Management Division

August 2002 - December 2010 · 8 yrs 4 mos

H. G. Wellington & CO., INC.Broker

August 1995 - December 2009 · 14 yrs 4 mos

Bomar Securities, L.P.Broker

July 1990 - August 1992 · 2 yrs 1 mo

Tucker, Anthony & R. L. Day, INC.Broker

December 1969 - July 1988 · 18 yrs 7 mos

State Registrations8 states

CACOCTFLNHNVNYVT

AdvisorBrokerBoth

Exams

No exam information available for this advisor.