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Charles Thompson

Wellington Shields Capital Management, LLC
51 Years of Experience
Dorset, VT
1 DisclosureBroker
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Charles Thompson is a registered investment advisor at Wellington Shields Capital Management, LLC, based in Dorset, VT, with 51 years of industry experience. Charles 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
—
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Location

Dorset, VT

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History

Regulatory History (1)
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Judgment / Lien
June 2014
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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 · 14 yrs 6 mos
Wellington Shields & CO., LLC
March 2010 - Present · 16 yrs 7 mos
Wellington Shields & CO., LLC
November 2009 - Present · 16 yrs 11 mos
Wellington Shields & CO., LLCBroker
November 2009 - Present · 16 yrs 11 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

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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