Supporting the growth of your practice
– now and into the future

We are committed to attracting and retaining top talent with diverse backgrounds and skills. Our financial professionals and wealth advisors enjoy a collegial, supportive, flexible and autonomous environment. At Wellington Shields, you have the freedom to operate, grow and transition your practice in the manner that best suits your needs and those of your clients.

Our headquarters at 140 Broadway in Manhattan is home to our business development, trading, compliance and operations departments. The average tenure within these groups is 18 years, which speaks to the experience and the strength of continuity within our firm. We are very proud of the fact that many view their colleagues at Wellington Shields as part of their extended family.

Business development drives the on-boarding process, coordinating with compliance, client service, operations and finance to facilitate a smooth transition for a new advisor. Our trading desk accesses equities, fixed income and options, and is staffed by three industry veterans who have a combined 86 years’ experience serving both retail and institutional clients. Our compliance team helps you navigate the ever-changing regulatory environment, and several are on industry committees, enabling us to keep current with, and help shape, the regulatory landscape. Our finance department ensures your timely compensation and is the point of contact for employee benefits. They also offer expertise and flexibility to help you achieve your objectives.

We also help with succession, enabling new and experienced advisors to form collaborative relationships that benefit both parties. Younger advisors develop their businesses and gain valuable insight while seasoned advisors build a roadmap for eventual succession. Clients benefit from continuity and the blend of experienced advice and cutting-edge perspective that multigenerational teams offer.

We foster collaboration among advisors, including weekly in-house research meetings/conference calls where ideas are shared and market strategy is discussed. Educational workshops are held on timely wealth management topics that keep advisors apprised of new developments and trends in the marketplace which can be good conversation starters with clients.

At Wellington Shields, we are always looking for talented professionals to join our team.

Contact us if you would like to learn more.

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