TrueAdvisor
TrueAdvisor
JB
JB

Joseph Barbera

Wellington Shields & CO., LLC
3 Years of Experience
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Wellington Shields & CO., LLC
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
29 advisors
Number of Clients
519 clients
Average Client Portfolio
$907K average
Assets Under Management
$470.9M

Fee Structure

Financial Planning:Investment management only

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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Employment History
Current Registrations
Wellington Shields & CO., LLCBroker
June 2023 - Present · 2 yrs 8 mos
Wellington Shields Capital Management, LLC
June 2023 - Present · 2 yrs 8 mos
Wellington Shields & CO., LLC
June 2023 - Present · 2 yrs 8 mos
Previous Registrations
Fidelity Personal and Workplace Advisors
January 2023 - May 2023 · 4 mos
Fidelity Brokerage Services LLCBroker
September 2022 - May 2023 · 8 mos
State Registrations29 states
AZCACOCTDCDEFLGAMAMDMEMIMNMTNCNHNJNVNYOHPARISCSDTXVAVTWAWI
AdvisorBrokerBoth
Exams
No exam information available for this advisor.