Wellington Shields & Company . Llc is an investment advisor that manages 246.9 MM dollars in regulatory AUM and has 19 employees, of which 10 perform investment advisory functions.

The manager's has disclosed holdings from 06/30/11 to 06/30/21. The fund's latest filing disclosed 413MM in positions, representing 167% of the manager's regulatory AUM.


Top 25%
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Fundamental & Technical Factor Exposure

Market Cap Beta Volatility
Momentum (12M) Momentum (6M) Momentum (3M)
Price/Book Price/Earnings Price/Cash Flow
Dividend Yield Sales Growth Earnings Growth
EBIDTA Margin Debt/Assets Hedge Fund Crowding

WELLINGTON SHIELDS & Since Last Filing Return Details

Ticker Size Sector Stock Move StockAlpha Attribution Days to Liquidate Trade Crowdedness
FLO 42.06% Cons. Staples 5.62% 0.26% 6 1%
MSFT 4.16% Tech 14.27% -0.2% 0 53%
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WELLINGTON SHIELDS & Founders and Key Employees

Name Title In Position Since
Joseph Nicholas Cembrola Member Operations November-2008
Philip Michael Curcuru Cfo/Coo November-2008
Thomas Waters Grant Managing Member November-2008
Paul Immo Jr Gulden Managing Member November-2008
Marguerite Kramer Kircher Co-Srop/Co-Crop November-2008
Ralph Joseph Scarpa Co-Ceo/Managing Member November-2008
James Mcclenahan Shadek Member-Sales November-2008
Laurence Arthur Shadek Managing Member/Secy/Co-Srop/Co-Crop October-2008
David Vincent Shields Vice Chairman/Managing Member October-2008
Joseph Vincent Jr Shields Chairman/ Managing Member October-2008
Mark Porter Sperry Member October-2008
Charles H Wellington Vice Chairman/Managing Member October-2008
Stephen John Portas Chief Compliance Officer March-2013
Edward Kenneth March Senior Vice President, Head Of Trading, Msrb Principal July-2011

WELLINGTON SHIELDS & Brokers, Custodians, Auditors and Administrators

Type Company

WELLINGTON SHIELDS & Investment Strategy

Methods of Analysis, Investment Strategies and Risk of Loss

Our portfolio managers, in their individual capacity, may use all or may use some of the following methods of analysis to determine which securities to buy, sell or hold:

Fundamental analysis. We attempt to measure the intrinsic value of a security by looking at economic and financial factors (including the overall economy, industry conditions, and the financial condition and management of the company itself) to determine if the company is underpriced (indication it may be a good time to buy) or overpriced (indicating it may be time to sell).

Fundamental analysis does not attempt to anticipate market movements. This presents a potential risk, as the price of a security can move up or down along with the overall market regardless of the economic and financial factors considered in evaluating the stock.

Technical analysis. We analyze past market movements and apply that ...
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WELLINGTON SHIELDS & Portfolio Concentration


NEW YORK, New York

WELLINGTON SHIELDS & Contact Information

Phone Number: 212-320-3000
Fax Number: 212-320-3040



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