Guy Ule is a registered investment advisor at Wellington Shields & CO., LLC, based in New York, NY, with 53 years of industry experience. Guy operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 519 clients with $470M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Wellington Shields & Co. charges an annual fee based on a percentage of the assets they manage. The exact percentage varies depending on the portfolio manager and the type of portfolio:
- Equity and Balanced Portfolios: 0.20% up to 1.50% per year
- Fixed Income Portfolios: 0.20% up to 0.75% per year
The fee is calculated quarterly based on the value of the account and is paid in arrears. Fees are negotiable and may vary based on client type, pre-existing relationships, assets under management, and service requirements. The P.G. Group of WSC has a slightly different fee schedule.
Location
60 Broad Street, 39th Floor, New York, NY, 10004
Get directionsHistory
Regulatory History (2)
Customer Dispute
April 2012Customer Dispute
March 2011Employment History
Current Registrations
Wellington Shields & CO., LLC
Wellington Shields & CO., LLC
Wellington Shields & CO., LLCBroker
Previous Registrations
Shields & CompanyBroker
Herzog, Heine, Geduld, INC.Broker
Meyers Pollock Robbins, INC.Broker
Ingham, Becker & CO., INC.Broker
Rosenkrantz, Ehrenkrantz, Lyon & Ross IncorporatedBroker
Daley & CompanyBroker
Source Securities CorporationBroker
State Registrations24 states
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