Year joined Wellington Shields:

2025

Current:

Robert works with clients to help them pursue long-term financial security through thoughtful planning and disciplined investment strategies. He focuses on balancing capital preservation with opportunities for growth, utilizing the strength and stability of U.S. markets to help clients build confidence in their financial future.

Previous Experience and Career Highlights:

Prior to joining Wellington Shields, Robert worked in Portland, Oregon as a Science and Mathematics teacher. Earlier in his career, he served as a Legal Assistant in law firms specializing in Personal Injury and Patent Law and also worked as a Patent Examiner for the U.S. Patent and Trademark Office, where he evaluated patent applications and technical innovations.

Education and Certifications:

• Syracuse University, Syracuse, NY – Bachelor of Science in Physics, Minor in Mathematics
• Florida Atlantic University, Boca Raton, Fl – Graduate Studies in Physics
• USPTO Patent Training Academy, Alexandria, VA – Horology
• FINRA Licenses: SIE and Series 7

Other Interests and/or Affiliations:

• The Hotchkiss School, Lakeville, CT – Alumni
• Abingdon School, Abingdon, England – Alumni

Outside of work, Robert enjoys hosting game nights with friends and family and spending summer days relaxing by the river.

Year Joined Wellington Shields:

2024

Current:

Will currently serves as an analyst, where he plays a key role in the success of our team. His academic journey began at the University of Virginia where he earned a Bachelor of Arts in Economics and a minor in Entrepreneurship with a concentration in Computer Science. This strong and unique educational foundation has been instrumental in his contributions to our modeling and research efforts as part of our generalist equity team.

Previous Experience/Career Highlights :

Prior to joining Wellington Shields, Will gained valuable experience through internships at Wellington Shields, mePrism, and HNS Advisors, where he sharpened his analytical skills, creative thinking and expanded his industry knowledge.  

Education and Certifications:

• University of Virginia, BA – Economics
• FINRA Licenses: Series 7, 66 and SIE

Other Interests and/or Affiliations:

Will is passionate about sports, especially golf, tennis, basketball, and football. He’s a dedicated fan of the NY Giants and follows all UVA Cavaliers’ sports closely. In his free time, he enjoys reading, watching movies, and listening to country and jam band music.

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 develop a strong foundation in 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, Joe worked within the foreign exchange domain, leveraging his expertise to provide strategic insights and guidance. At The London Stock Exchange, he focused on the digital asset space, contributing to initiatives within a rapidly evolving segment of global markets.

Shortly after joining Wellington Shields, Joe completed the Certified Financial Planner™ curriculum and earned his CFP® certification, further strengthening his ability to deliver comprehensive, client-focused advice. He is also licensed in Life, Accident, and Health insurance, enabling him to incorporate risk management and protection strategies into his planning process. He is currently pursuing the Certified Private Wealth Advisor® (CPWA®) designation to deepen his expertise in advanced wealth management strategies.

These experiences have equipped Joe with a comprehensive skill set and a broad perspective, enabling him to offer unique and informed financial solutions tailored to his clients’ needs.

Education, Certifications and Licenses:

• Boston University, BS – Communications
• Georgetown University, MS – Finance
• FINRA Licenses: Series 7, 66 
• CFP^® Certification   
• Licensed in Life, Accident & Health Insurance
• Licensed in Variable Insurance Products

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 works closely with clients to understand their individual financial goals and develop customized investment strategies designed to help them achieve long-term success. His approach combines fundamental research with technical analysis, evaluating companies for financial strength and growth potential while analyzing market trends to identify investment opportunities. Tim emphasizes diversification, disciplined rebalancing, and ongoing portfolio management to help navigate market volatility.

Previous Experience and Career Highlights:

Prior to joining Wellington Shields, Tim founded and operated a successful fitness facility in the Shelburne Falls community, where he continues to build lasting relationships with clients through a personalized approach to service.

Education and Certifications:

• Northeastern University, BS – Engineering
• FINRA Licenses: Series 7, 66

Other Interests and/or Affiliations:

Tim currently serves as Treasurer of The Learning Knoll, a local nonprofit focusing on early education. He enjoys chess, poker, weightlifting, and spending time with his son.

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

Professional Overview:

Scott serves as Branch Manager of the Shelburne Falls, Massachusetts office and works closely with clients to develop personalized investment strategies aligned with their financial goals. He believes in building strong relationships through thoughtful discussions and tailoring plans that can evolve as clients’ circumstances and market conditions change. Scott follows a value-oriented investment approach, focusing on companies that appear undervalued but demonstrate strong long-term potential, while incorporating fixed-income investments when appropriate to help balance portfolios.

Previous Experience:

Prior to joining H.G. Wellington, one of the predecessor firms of Wellington Shields, Scott built a diverse professional background in retail, real estate development, land management, and as a control room operator for a regional power company, experiences that strengthened his skills in financial management, customer relations, and business operations.

Education and Certifications:

• University of Massachusetts, Amherst, Bachelor of Science in Engineering (cum laude)
• University of Massachusetts, Isenberg School of Management – MBA Finance
• FINRA Licenses: Series 7, 63, 65 and 24
• Registered Insurance Agent: Life and Health

Community and Personal Interests:

A longtime advocate for community service, Scott has served as a volunteer EMT, firefighter, fire chief, and in a variety of local civic roles. Outside of work, he enjoys golf, poker, fly-fishing, and spending time with his family.

Year joined Wellington Shields:

2019

Current:

Ellen brings a proactive and client-focused approach to financial planning, delivering comprehensive and professional solutions designed to help clients achieve their long-term financial objectives and lifelong goals. She believes each client relationship is unique and is dedicated to fostering strong, multi-generational partnerships. Guided by integrity and a personalized approach, Ellen views financial planning as an evolving, detail-oriented process, with strategies thoughtfully tailored to each client’s individual circumstances.

Previous Experience and Career Highlights:

Prior to joining Wellington Shields, Ellen served for 24 years as a civilian employee with the Massachusetts State Police, where her areas of expertise included telecommunications, logistics, computer security, and customer service. In addition, Ellen and her husband, Scott, have established and managed multiple successful business ventures, including a real estate development firm and Chickley Alp Farm, a 525-acre tree farm in Western Massachusetts focused on sustainable forestry and responsible land stewardship to preserve resources for future generations.

Education and Certifications:

• University of Massachusetts, Amherst — B.A. in Business Operations and Emergency Planning
• University of Massachusetts, Isenberg School of Management — MBA coursework
• FINRA Licenses: Series 7, 63 and 65

Community Involvement and Personal Interests:

Ellen and her husband (and professional colleague) Scott are actively engaged in their community. Ellen serves as co-chair of the Shelburne Falls Steering Committee and is a member of the 2D8T Steering Committee, which addresses rural school sustainability. She also volunteers at the Arms Library. Outside of work, Ellen enjoys traveling, particularly to Michigan to spend time with her grandchildren, as well as reading, gardening, hiking, and attending the theater.

Year joined Wellington Shields:

2017

Current:

As a Wealth Advisor, Ken has been guiding clients in their investment decisions for over 17 years, having 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 previously served on the City of Thomasville Planning and Zoning Commission.  He and his wife enjoy backpacking and hiking in the great outdoors with their children.