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William Mcfadden

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

William Mcfadden is a registered investment advisor at Wellington Shields Capital Management, LLC, based in New York, NY, with 19 years of industry experience. William 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

60 Broad Street, 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

William holds multiple positions, including portfolio management at Capital Management Associates, managing director at Wellington Shields Capital Management, and president/CEO of Capital Management Investment Trust. He also consults for McFadden Farm and Flowers Foods, dedicating minimal time to each.

Employment History
Current Registrations
Wellington Shields Capital Management, LLC
August 2021 - Present · 5 yrs 2 mos
Wellington Shields & CO., LLC
August 2010 - Present · 16 yrs 2 mos
Wellington Shields & CO., LLCBroker
November 2009 - Present · 16 yrs 11 mos
Previous Registrations
Capital Management Associates INC
August 2021 - September 2026 · 5 yrs 1 mo
Shields & CompanyBroker
September 2007 - December 2009 · 2 yrs 3 mos
State Registrations15 states
CADCFLGAILKYMEMTNCNJNYPARIVAWA
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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