Wellington Shields Capital Management, LLC

Wellington Shields Capital Management provides continuous investment advisory services tailored to individual client goals, time horizons, risk tolerance, and liquidity needs. The firm builds and manages customized portfolios covering equity, balanced, and fixed-income strategies. Wellington Shields Capital Management operates both discretionary and non-discretionary accounts, allowing clients to maintain control over trading decisions or delegate authority to the firm. Wellington Shields Capital Management can also incorporate reasonable client-imposed restrictions on specific securities or industry sectors. Investment recommendations are not restricted to proprietary products and may encompass exchange-listed and over-the-counter securities, options, mutual funds, exchange-traded funds, unit investment trusts, corporate and municipal debt, and government securities. Additionally, the firm sponsors a bundled fee program combining advisory and brokerage execution services. Wellington Shields Capital Management conducts due diligence on independent third-party managers when utilized. The firm is affiliated with an affiliated broker-dealer and other financial entities, presenting certain disclosed conflicts of interest related to brokerage execution and cash sweep arrangements.