Year Joined Wellington Shields:
2023
Current:
Joe has a deep passion for building financial plans for clients, driven by his strong belief in the transformative power of tailored strategies. Understanding each client’s unique financial situation is a source of great enthusiasm for him, as he enjoys uncovering their individual needs and goals. With a firm belief in diversification and regular portfolio rebalancing, Joe strives to ensure that all portfolios reach their fullest potential. By spreading investments across various asset classes, he aims to minimize risk and maximize returns. He recognizes the importance of regularly realigning portfolios to meet clients’ evolving objectives and market conditions, emphasizing optimal performance and long-term success. Witnessing clients’ financial dreams come to fruition is what truly motivates Joe in this field.
Previous Experience/Career Highlights:
While completing his licensing and graduate studies at Georgetown University, Joe served as a financial representative at Fidelity Investments. This role allowed him to gain a deep understanding of financial planning and client management. In addition, he has completed consulting work for prestigious organizations such as Microsoft and The London Stock Exchange. At Microsoft, he worked within the foreign exchange domain, leveraging his expertise to provide valuable insights and guidance. At The London Stock Exchange, Joe focused on the digital asset space, contributing his knowledge and skills to enhance operations within this rapidly evolving sector. These experiences have equipped Joe with a comprehensive skill set and a broad perspective, enabling him to offer unique and informed financial solutions to his clients.
Education and Certifications:
- Boston University, BS – Communications
- Georgetown University, MS – Finance
- FINRA Licenses: Series 7, 66
Other Interests and/or Affiliations:
Joe enjoys spending time reading, researching, and learning about other companies and industries. Outside of work, you can find him practicing martial arts, writing, weightlifting, or engaging in philanthropy. Joe’s family and clients are his top priority.
Year joined Wellington Shields:
2022
Current:
Tim enjoys working with clients to help them understand their unique financial goals. He believes in getting to know each client individually, then working to create customized plans geared towards their financial objectives. He incorporates fundamental research evaluation in an attempt to identify stocks offering strong growth potential and then overlays technical analysis using trends and charts to scrutinize a security’s potential. Tim is licensed to purchase a large spectrum of investment opportunities and believes diversification, rebalancing, and adjusting as necessary, to address the inherent volatility of the market.
Previous Experience/Career Highlights:
Prior to joining the firm, Tim founded a successful fitness facility in the Shelburne Falls community. His business model included getting to know each of his clients individually and learning about their lives. Prior to establishing his own business, he worked in a variety of small business roles requiring the use of creative problem-solving skills.
Education and Certifications:
- Northeastern University, BS – Engineering
- FINRA Licenses: Series 7, 66
Other Interests and/or Affiliations:
Tim enjoys spending time researching and learning about companies. Outside of work, you can find him playing chess, poker, weightlifting, and spending time with his son. Tim’s family and local community are his top priorities.
Year joined Wellington Shields:
2022
Current:
As a Wealth Advisor, Matt is excited to help clients navigate the financial markets. Bolstered by his background in healthcare (Nuclear Pharmacy), Matt brings an analytical/data-driven approach to help inform the financial decisions of each individual client. He understands that each client has specific goals that require specific plans to ensure that they reach their desired destination.
Previous Experience/Career Highlights:
For the first 15 years of his career, Matt worked as a Nuclear Pharmacist and Nuclear Pharmacy Manager. Matt served on the Sterile Compounding committee for the South Carolina Board of Pharmacy for 7 years. Eager for new career challenges, Matt joined Wellington Shields in early 2022.
Education and Certifications:
- Clemson University – B.S. Microbiology
- The Medical University of South Carolina – Doctor of Pharmacy w/ Nuclear specialty
- FINRA Licenses: Series 7, 63, 65
Other Interests and/or Affiliations:
Matt is a member of the Thomasville Rotary Club and enjoys any number of outdoor activities, from hunting and fishing to backpacking. Matt and his wife are the proud parents of two beautiful daughters.
Financial Advisor
Year joined Wellington Shields: 2021
Previous Experience/Career Highlights:
Before joining WS, Juan Pablo was a Financial Advisor at Morgan Stanley covering international clients and providing FX solutions to family offices. Prior to Morgan Stanley, Juan Pablo worked as an analyst at JP Morgan supporting several senior bankers. He has also worked at BofA Merrill Lynch’s Latin America M&A Group as an Investment Banking Analyst.
Education and Certifications:
- University of Michigan, BSE Industrial and Operations Engineering
- FINRA: Series 7, 63
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.
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).
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
- Registered Insurance Agent: Life and Health
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.
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.
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.
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.
