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Guy Ule

Wellington Shields & CO., LLC
54 Years of Experience
New York, NY
2 DisclosuresBroker
View SEC Summary
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Guy Ule is a registered investment advisor at Wellington Shields & CO., LLC, based in New York, NY, with 54 years of industry experience. Guy 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
—
View Full SEC Brochure

Location

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

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History

Regulatory History (2)
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.
Customer Dispute
April 2012
Award / Judgment
Customer Dispute
March 2011
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Wellington Shields & CO., LLC
January 2022 - Present · 4 yrs 9 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
Shields & CompanyBroker
November 2000 - December 2009 · 9 yrs 1 mo
Herzog, Heine, Geduld, INC.Broker
July 1989 - January 2001 · 11 yrs 6 mos
Meyers Pollock Robbins, INC.Broker
November 1987 - July 1989 · 1 yr 8 mos
Ingham, Becker & CO., INC.Broker
August 1985 - January 1988 · 2 yrs 5 mos
Rosenkrantz, Ehrenkrantz, Lyon & Ross IncorporatedBroker
January 1978 - February 1985 · 7 yrs 1 mo
Daley & CompanyBroker
November 1972 - February 1978 · 5 yrs 3 mos
Source Securities CorporationBroker
March 1972 - October 1972 · 7 mos
State Registrations24 states
AZCACOCTFLGAILMAMDMIMNMTNJNVNYOHOKPARISCTXVAVTWY
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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