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

Three colleagues talking in an office hallway
our team

Meet Our Most
Valuable Assets

Steve PortasPresident, Chief Compliance Officer

Year Joined Wellington Shields:

2011

Current:

Steve is the President and Chief Compliance Officer (CCO) of Wellington Shields & Co. LLC and Wellington Shields Capital Management. He joined Wellington as a Senior Vice President in Compliance in 2011 after serving as CCO of Midwood Securities, Inc. He was appointed CCO at Wellington in 2013 and named President in 2023.

Previous Experience/Career Highlights:

Midwood Securities, Inc. – Chief Compliance Officer (1992-2011)

Education and Certifications:

  • Villanova University, BA – Accounting
  • Securities Industry Institute Wharton Program
  • FINRA: Series 7, 8, 14, 24, 57, 63

Other Interests and/or Affiliations:

  • Member of FINRA Series 99 Committee
  • Member Securities Industry Council on Continuing Education
  • Steve resides in New Jersey with his wife and children. In his free time, he enjoys traveling, reading, and recreational sports.
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