BROKERAGE

Wellington Shields & Co. LLC offers a full range of general brokerage services for equities listed on the New York Stock Exchange as well as NASDAQ and other exchange venues. Our financial advisors work with their client's on an individual qualitative basis to understand and implement the client's goals and maximize wealth preservation and growth.

Institutional clients have direct input to the New York Stock Exchange floor and our trading desk. Sophisticated algorithms are used to implement the trading strategies desired including pairs trading, swaps, merger arbitrage, percent orders, VWAPs, etc. Communication can be conducted by voice or instant messaging and reports delivered real time to the customers' OMS.

David Shields, Vice Chairman, a NYSE member for 40 years and former NYSE Board Director, has responsibility for institutional trading.

Ralph Scarpa, Co-CEO of Wellington Shields & Co. LLC, oversees our retail business and branch network.

Ted Nelson is a member of the NYSE and oversees the NYSE floor. He has 20 years experience on the floor.

Tony Princi is our Head Trader upstairs and has been in the business 35 years and joined Shields & Company in 1987.

Wellington Shields & Co. LLC
Wellington Shields & Co. LLC
140 Broadway New York, NY 10005
212-320-3000
800-289-7443