Jim Fahey

Year joined Wellington Shields:

2016

Current:

Jim manages investment portfolios for both domestic and international high net worth individuals, with a focus on retired Corporate Officers.

Previous Experience/Career Highlights:

Prior to joining Wellington Shields, Jim was Director of Investments at Oppenheimer & Co. Before that, he was a VP and International Financial Advisor at Merrill Lynch, and SVP, Financial Advisor, and Corporate Client Group Director at Salomon Smith Barney. Earlier, Jim worked in International Treasury, including positions at Texaco Inc. and American Standard.

Jim began his career in the Credit Training Program at the New York branch of European American Bank.

Education and Certifications:

  • Iona College, BBA – Marketing; MBA, – Finance
  • FINRA Licenses: Series 3, 7, 63, 65

Other Interests and/or Affiliations:

For about the past ten years Jim held positions as a NY State Policy/Advocacy Chair and Ambassador for Autism Speaks. He is very involved in Garden City’s Challenger Athletics Program, including soccer, basketball, lacrosse, and platform tennis.

Howard D. Brous

Year joined Wellington Shields:

2018

Current:

Howard brings over 50 years of experience serving a range of clients from individual accounts to institutions and hedge funds.

Previous Experience/Career Highlights:

  • Managing Director, B. Riley Wealth Management, Inc., formerly Wunderlich Securities, Inc. (2005–2018)
  • Founder, CEO, Chairman of the Board, H D Brous & Co. Inc., Member New York Stock Exchange (1988–2005)

Education and Certifications:

  • Queens College, BA – Major: Political Science and History, Minor: Philosophy
  • FINRA: Series 7, 63, 79 (investment banking), 52 (municipal representative), 99, 72 (government securities representative)

Other Interests and/or Affiliations:

Outside the office, Howard enjoys spending time with Ellen, his wife of over 50 years, his two adult sons, his grandson, Jackson and granddaughter, Lily. He has been an active member of the Kings Point, Great Neck, NY community where he has resided for over 50 years. During this time, Howard has served on the board of numerous organizations.  Howard was a Member of the Board of Directors, an Officer and Member of the Executive Committee of the Holocaust Memorial and Tolerance Center of Nassau County (2003–2012) and was awarded “Man of the Year” in 2003. He was a Member of the Board of Directors for Porta Systems (1989–1999), a Member of the Board of Directors of Choice Drug (1995–1996), a Member of the Board of Directors and Officer of the United Community Fund (1987–1994) and named “Man of the Year” in 1993 and a Member of the Board of Directors and Officer of the Eagle Hill School (1986–1991). Earlier, he was a Member of the Board of Directors of Mohawk Data Sciences (Quantel) (1985–1991) and a Member of the Board of Directors for Great Neck Community School (1973–1978).

Scott Purinton

Year joined H.G. Wellington:

1999

Current:

Scott manages our Shelburne Falls, MA office, located in the Berkshires of Western Massachusetts. He enjoys getting to know his clients through extensive personal discussions. Recognizing that no two clients are alike, he customizes the appropriate strategy for their situation and goals such that it can change as their situation changes or due to market dynamics. Scott favors a value-approach to investing, looking for stocks that appear undervalued or out-of-favor, but have good prospects based on his rigorous analysis. Scott likes to include fixed-income vehicles in the mix too, when appropriate.

Previous Experience/Career Highlights:

Prior to joining the firm Scott worked in retail, owned real estate development and land management businesses, and worked several years as a power company control room operator. Through these ventures, Scott built a business skillset focused on financial issues, customer relations, tax planning, and sales.

Education and Certifications:

  • University of Massachusetts, Amherst, BS – Engineering (cum laude),
  • University of Massachusetts, Isenberg School of Management MBA Courses
  • FINRA Licenses: Series 7, 63, 65 & 24

Other Interests and/or Affiliations:

Married for over 35 years to his beloved wife (and colleague) Ellen, Scott is an Eagle Scout and golf, poker, and fly-fishing enthusiast. Community service has always been a top priority. Over the years Scott has served as a Volunteer EMT, Fireman, Fire Chief, town municipal coordinator, civil defense director, on local high school and elementary school committees, a credit union board, Cub Scout leader, baseball coach, and Community 911 director. Though recently “retired” from maple sugaring, Scott maintains his involvement in the Purinton’s Chickley Alp Tree Farm.

Ellen Purinton

Year joined Wellington Shields:

2019

Current:

Ellen’s proactive approach includes her mission to provide clients with comprehensive, professional, and financial solutions so that they can realize their financial goals and lifelong dreams. She believes that each client is unique, and strives to develop strong multi-generational relationships. With signature integrity and a personal touch, Ellen’s method of financial planning is a dynamic process with attention to detail, and strategies customized to each individual.

Previous Experience/Career Highlights:

Prior to joining the firm, Ellen worked in as a civilian employee of the Massachusetts State Police for 24 years. Specializing in telecommunications, logistics, computer security, and customer service. She and her husband, Scott, have created and helmed several business ventures, including a successful real estate development firm and Chickley Alp Farm, a 525-acre tree farm in Western Massachusetts, dedicated to active land and forestry management and the belief that responsible stewardship ensures healthy land for future generations.

Education and Certifications:

  • University of Massachusetts, Amherst, BA – Business Operations and Emergency Planning
  • University of Massachusetts, Isenberg School of Management MBA courses
  • FINRA Licenses: Series 7, 63 & 65

Other Interests and/or Affiliations:

Married for 35 years-and-counting, Ellen and her husband (and colleague), Scott are civic-minded contributors to their community. Ellen has served in a variety of roles locally, including Elementary School PTO President, Local Education Council, Cub Scout Leader, Little League Coach, and Volunteer Firefighter EMT. She also enjoys reading, gardening, hiking, and theater.

Ken O’Neal

Year joined Wellington Shields:

2017

Current:

As a Wealth Advisor, Ken has been guiding clients in their investment decisions since 1986, when he started as a broker with Merrill Lynch. His broad education and experience help address the unique financial ambitions of each client in an educational and insightful manner. He holds a strong belief that clients should know what they own and know why they own it and that those reasons should be backed by sound research and the client’s singular values.

Previous Experience/Career Highlights:

For the first nine years of his career, Ken worked on the investment side of the financial industry, before pivoting to the trust and estate portion of wealth management for five years. For six years, he also served as a Financial Center manager for prominent credit unions, helping members gain affordable access to credit and promoting capital accumulation practices. He joined Wellington Shields in 2017, a wiser financial advisor from the journey.

Education and Certifications:

  • Citadel, BA – English
  • Stony Brook University, 2 years of a Ph.D. program in English Literature
  • FINRA Licenses: Series 7, 66

Other Interests and/or Affiliations:

Ken is active in several non-profit community organizations and serves the City of Thomasville as a member of the Planning and Zoning Commission.  He and his wife enjoy backpacking and hiking in the great outdoors with their children.

Debbie Gaskins

Year joined Shields & Company:

1994

Current:

In her role as a Senior Wealth Advisor, Debbie works closely with her clients to create customized portfolios that meet their unique circumstances, risk tolerance, and financial goals. She uses Wellington Shields’ research as well as other resources to identify the best investment options among a mix of stocks, mutual funds, bonds, and CDs. Debbie monitors her client’s portfolios and speaks to them regularly to rebalance those assets related to market shifts and changing client needs.

Previous Experience/Career Highlights:

Debbie began her career in finance at Dean Witter Reynolds which later became Morgan Stanley.  After that, she was with Prudential for five years and then joined Professional Advisory Services where she was a Portfolio Manager and Compliance Officer. Debbie moved up to Thomasville in 1994 from Vero Beach, Florida and joined Shields & Company (predecessor to Wellington Shields) as an Investment Advisor. After a year, she was promoted to Branch Manager of the Thomasville, GA office.

Education and Certifications:

  • Wayne State University, Michigan, BA – Social Work (major), Psychology (minor)
  • Postgraduate courses: Accounting and Economics
  • FINRA Licenses: Series 7, 8, 9, 63, 65
  • Registered Insurance Agent: Life and Health

Other Interests and/or Affiliations:

Debbie is married with two adult children and 4 grandchildren. She loves her family and friends and enjoys boating, reading, playing scrabble and taking long walks with her dogs.  Debbie serves on the Boards of the Archbold Memorial Hospital, AMH Finance Committee, the Vashti Children’s Home, and the Finance Committee of the St. Thomas Episcopal Church. For over a decade, Debbie was on the Board of Directors for the Thomasville Center for the Arts. She is also a former Chairperson for the nationally renowned Plantation Wildlife Arts Festival.

John P. Clough

Year joined Shields & Company:

2005

Current:

Wealth Advisor

Previous Experience/Career Highlights:

Prior to joining Shields & Co., the predecessor firm to Wellington Shields & Co., John was a VP of Investments at A.G. Edwards and a member of the prestigious President’s Council. He started at the firm as a financial advisor and consultant before moving up the ranks.

Education and Certifications:

  • Deerfield Academy, Graduate
  • Lehigh University, BA – Economics and Urban Studies
  • Bob Dunwoody Investment Advisor seminar

Other Interests and/or Affiliations:

John is devoted to his family, dogs and baseball. Go Red Sox!

Kristi Furnari

Year Joined H.G. Wellington: 

2002

Current:

Kristi has mastered positions in several areas within the firm, including Portfolio Management, Systems Management, and Advisory Compliance. Most of all, she enjoys working with clients to create individualized investment portfolios based on long-term needs. She is grateful to be able to make a significant contribution toward the successful attainment of her client’s professional and financial goals.

Previous Experience/Career Highlights:

Soundview Technology Group, Associate – Venture Capital Division (subsequently acquired by Charles Schwab)

Education and Certifications:

  • Western Connecticut State University, BA – Business Administration, Finance
  • FINRA Licenses: Series 7, 63, 65

Other Interests and/or Affiliations:

  • Spending time with her husband and three daughters
  • Advocate for inclusive education for students with disabilities
  • Partner in Ripple Co-working ripplecoworking.com
  • Board Member of the 5p-Society fivepminus.org

Phil Walkley III

Year joined H.G. Wellington: 

1994

Current:

Phil’s main philosophy is that you must know your clients well; their financial needs and goals for the future, and how to fulfill both in a way that matches their personalities. He likes to urge them to invest for the long run, reinvest dividends, if possible, and be patient. Also, live within a realistic budget and be conscious of what things will cost to be owned, not just purchased. Pick careers with no mandatory retirement, and stay involved with family, friends, and community work.  Try not to accumulate a lot of “stuff”, because he says, you’ll just end up throwing it away or storing it, or having to pack it up and take it with you. He believes that having a certain amount of wealth should provide a sense of security and well-being with as little maintenance and anxiety as possible. Accomplishing that is his job and he relishes it.

Previous Experience/Career Highlights:

After graduating from Princeton, Phil worked in the back office at Tessel, Paturick, and Ostrau, a small brokerage firm specializing in convertible bonds, where he passed the series 7 exam.

He got married and then was drafted which led to Officers Candidate School (OCS) and three years in the U.S. Navy, during which he served aboard a destroyer and then an oil and ammunition ship. He is most proud of his role as an Education Officer, which involved helping many enlisted men to earn their high school equivalency diploma through a program offered by Boston University.

After the Navy, Phil attended Columbia University where he earned his MBA. Then to a start-up shipping company carrying cargo between U.S., Brazil and Argentina where he stayed for ten years as it expanded into new industries.

Then, in the early 1980s, Phil returned to Wall Street with Drexel Burnham Lambert. There he developed an expertise in bonds; convertibles, municipals, and other tax related investments, as he grew his client list. After Drexel had merged with Smith Barney, Phil joined H.G. Wellington, in 1994, appreciating that this smaller, well regarded firm gave him more flexibility in crafting portfolios which best served his clients objectives, needs, and risk profiles, using investments of his own choosing.

Education and Certifications:

  • Princeton UniversityBS – Economics
  • Columbia University, MBA
  • FINRA Licenses: Series 3, 5, 7, 15, 63, 65

Other Interests and/or Affiliations:

  • S. Navy
  • Nature Conservancy
  • Fishing

Max Ule

Joined Shields & Company:

2000

Current:

Max offers investment ideas and advice to a worldwide roster of clients, many who have been with him since the start of his Wall Street career.

Previous Experience/Career Highlights:

Just prior to joining Wellington Shields, Max ran his own division as a Financial Advisor within Herzog Heine Geduld Inc. (acquired by Merrill Lynch).

While attending Harvard College Max spent his summers selling Electrolux vacuum cleaners door-to-door. After graduate school, he took a job at TWA, initially in cargo and passenger sales and then as a physical distribution specialist—visiting companies to show them how they might use air freight to replace expensive warehouses.

Education and Certifications:

  • Harvard College, BA
  • Harvard University Business School, MBA
  • Principal, Financial Principal, Registered Option Principal
  • Insurance Licenses: Health and Life Insurance in CT, NY, NJ, and FL

Other Interests and/or Affiliations:

From 1962-1965 Max served as an officer in the US Navy aboard the USS George K. MacKenzie, a destroyer stationed in Yokosuka, Japan.  He was awarded medals for National Defense, Vietnam Service, and from the Republic of Vietnam.

Max belongs to 13 veterans groups and one he recently joined, the Church League for Patriotic Service—a charity devoted to providing funds to groups that support veterans. Max’s particular specialty is charities that use horses and dogs to provide therapy for veterans with PTSD and MST. In 2018, the Church League disbanded and transferred Max and its funds to Squadron A formed in 1889 to support New York State reservists in the Horse Cavalry. Max is a director of the club and a trustee of the foundation.

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