New Address as of 10/4/24 — 60 Broad Street, 39th Floor, New York, NY 10004

Framed print of Castle Garden in New York City
Investment Management

A Long-Term,
Disciplined Approach

Through every market cycle, our disciplined, long-term
approach is key to helping you build and
preserve your wealth.

Philosophy

Our top-down investment approach emphasizes quality and growth at a reasonable price.
We invest in businesses with strong balance sheets that are leaders in their respective industries.
Our investment committee develops a macroeconomic view, which informs our asset allocation.
We seek companies that have natural moats to competition run by superior management teams.

Our Process

1. Assess

economic/market conditions and determine long-term secular growth trends.

2. Identify

sectors and industries benefiting from those trends, with a focus on companies with a large moat or competitive advantage.

3. Evaluate

business fundamentals with a focus on the quality of management and effectiveness of capital allocation.

4. Debate

merits of the investment thesis with other members of the team to challenge the idea and uncover potential weaknesses.

Continually re-evaluate

to ensure investment rationale is intact, utilizing technical analysis to determine optimal entry and exit points.

Tailored Solutions

  • Our investment professionals benefit from top-down guidance from our in-house strategists along with access to company-specific research from leading industry analysts.
  • Client portfolios may include individual securities, model portfolios, indexed and/or actively managed ETFs, mutual funds, unit investment trusts and separately managed accounts from the industry’s top managers.
  • We can create an account that reflects your preferences for a self-directed brokerage relationship or discretionary management.
  • We offer vetted third-party ESG managers or can help build portfolios with companies using leading ESG practices. Our platform supports affirmative, exclusionary and impact investing strategies aligned with the U.N. Sustainable Development Goals.

We incorporate a range of actively and passively managed investment solutions, including:

  • Equities: Our portfolio managers look for a combination of good management, prudent allocation of capital, and the return that capital provides.
  • Equity Risk Management: Our Equity Risk Management strategies provide downside protection and income from concentrated holdings. The benefits of ownership are preserved while the position is monetized.
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  • Fixed income: Our capabilities demonstrate our extensive expertise in municipal bonds, high grade corporate bonds, U.S. government securities and agency securities.
  • Alternative investments: We provide access to a platform of non-traditional investment solutions.
  • Insurance and annuity products: We offer a number of different insurance products to help with wealth preservation, transfer of risk, tax free income and distribution, as well as guaranteed income.
  • Short-term/cash equivalents

Trading

Our roots as a broker dealer and New York Stock Exchange member date back to 1925. Currently in our tenth decade of operation as one of its oldest independent members, we maintain our commitment to the NYSE as an operator of “the leading and most liquid group of equities and equity options exchanges.”

Our agency trading desk serves both our investment and wealth management clients with prompt and efficient execution of orders in the marketplace. We have access to sophisticated order management and routing technologies and algorithms that we utilize in conjunction with our NYSE floor presence in pursuit of best execution on behalf of our clients.

Our fixed income capabilities demonstrate our extensive expertise in serving advisory and brokerage clients’ needs in municipal bonds, high grade corporate bonds, U.S. government securities and agency securities.

Wellington Shields utilizes multiple trading platforms with various routing possibilities. Investors are advised that system availability and response times may be subject to market conditions.

Speak to an advisor about how we can help you manage your investments

Contact Us
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