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

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

Other Interests and/or Affiliations:

• S. Navy
• Nature Conservancy
• Fishing

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.

Year joined Wellington Shields:

2011

Current:

BK takes a largely conservative approach to investing. She believes in a diversified portfolio with an emphasis on dividends, investing for the long term and growth at a reasonable price. She likes to get to know her clients well; know their tolerance for risk, financial needs both now and anticipated in the future and the kinds of investments that make them most comfortable. She then tailors a portfolio around that knowledge, updating it as economic conditions, regulations, laws, styles and client needs and goals evolve.

Previous Experience/Career Highlights:

BK joined Wellington Shields in 2011. She began her investment career at Melhado, Flynn & Associates, working there for many years before joining its short-lived successor firm, National Securities Corp. With the move to Wellington Shields, she has found a collegial group of like-minded professionals who are passionate about investing, freely share ideas and work together harmoniously.

Education and Certifications:

• Susquehanna University, BA
• Drew University, MA
• FINRA Licenses: Series 7, 63, 65    

Other Interests and/or Affiliations:

BK enjoys traveling, art, history, nature and cooking. She is on the Board of the Warren Land Trust in Connecticut, and Treasurer of her Brooklyn co-op. Colleagues envy her one-stop-to-the-office subway commute!

Year joined H.G. Wellington:

1986

Current:

At Wellington Shields, Mark believes in the process of extensive research to uncover unique companies with a strong emphasis on value. Patience and discipline are important ingredients when building portfolios as well as adhering to his clients’ financial needs. As a long-term investor, he particularly enjoys identifying investment themes early that have the potential for exceptional growth.

Previous Experience/Career Highlights:

Mark joined Wellington Shields through the merger with H.G. Wellington & Co. where he was a SVP, Portfolio Manager in the Investment Advisory Division and a Board Member (from 2007-2009). Previously, Mark was a VP, Account Executive of the Broker Dealer Division (2002-2007). He joined H.G. Wellington in 1986 through the merger with Stillman, Maynard and Co. where he began his career in 1984. Mark feels fortunate that his entire career has been spent essentially with the ‘same’ firm and is proud of the company’s consistent high standards and core values.

Education and Certifications:

• University of Vermont, BS – Resource Economics
• FINRA Licenses: Series 7, 24, 63, 65      

Other Interests and/or Affiliations:

Family, boating, stand-up paddle board, skiing, racquet sports, yoga and meditation, environmental and spiritual awareness, being in Nature, historical fiction, and backgammon.

Year Joined Shields & Company:

1993

Current:

Alan is a financial advisor and research analyst specializing in retail and real estate investment trusts.

Previous Experience/Career Highlights:

Alan previously held positions as Managing Director, Senior Vice President, and Senior Security Analyst at investment firms Ladenburg, Thalmann & Co, Shearson Hayden Stone, and Brown Brothers Harriman.

Education and Certifications:

• Brooklyn College, B.A. – Economics with honors,
• Columbia University, Ph.D. – Economics,
• New York Society of Security Analysts Textile and Apparel Analysts Group, Former President
• Long Island University/Mitchel College, Former Instructor – Economic Analysis and Labor Economics
• Chartered Financial Analyst (CFA®), Completed 9/15/1970            

Other Interests and/or Affiliations:

Alan enjoys going to antique shows and, in particular, collecting rare books.

Year joined H.G. Wellington:

1986

Current:

James is a Registered Representative and believes in a long-term investment strategy, mainly in equities. He looks for reasonably-priced stocks backed by good managements with competitive advantages and powerful brands. He also likes to have some income-oriented stocks in the mix.

Previous Experience/Career Highlights:

James was a Financial Advisor at H.G. Wellington from 1986-2009 when the firm merged with Shields & Company to form Wellington Shields & Co., LLC.

He joined H.G. Wellington in 1986 due to the merger with Stillman, Maynard & Co., a year after he had purchased an interest in Stillman. Before that, James worked for Moore & Schley as a registered representative and limited partner from 1979-1985.

James is the former part owner of the Pax World Management Company, an adviser to the Pax World funds, a leader in ESG investing which considers environmental, social and governance issues in the investment process.

Education and Certification:

• Columbia College, BA
• NYU Stern School of Business, MBA – Marketing
• FINRA Licenses: Series 7, 63

Other Interests and/or Affiliations:

Columbia College, BANYU Stern School of Business, MBA – MarketingFINRA Licenses: Series 7, 63

Year joined Wellington Shields:

2020

Current:

Geza is a Senior Wealth Advisor with Wellington Shields Capital Management.

Previous Experience/Career Highlights:

Prior to joining WSCM, Geza was a Managing Member and one of the three original founders of Marlcroft Asset Management in 1997.

Geza’s entire professional career, has been in the personal investment management business. He has an extensive background of working with individuals, trusts and estates.

Prior to forming Marlcroft, Geza spent nearly 20 years as a portfolio manager in the private banking divisions of Bankers Trust (now Deutsche Bank) and Citigroup.

Geza earned a Bachelor of Arts in Economics from Rutgers University (1977) and a Masters of Business Administration in Finance from Pace University (1980). He continued his professional education by completing the Chartered Financial Analyst program and received the designation as a CFA in 1986. While he did earn the CFA, he has not kept it current. Geza’s investment philosophy can be described best by this phrase:  “The discipline in investing comes in determining value, not designation of style. Investing has been, and will always be, about buying securities at the right price and at the right time.”

Education and Certifications:

• Rutgers University, NJ – Bachelor of Arts, Economic (1977)
• Pace University, NY –  Masters of Business Administration (1980)

Other Interests and/or Affiliations:

Geza is a voracious reader of World War II history, avid follower of college basketball and very involved with his local church.

Year joined Shields & Company:

2018

Current:

Mark designs and manages equity portfolios for his clients which are both high-net-worth individuals and multi-generational families. His investment strategy is value-oriented and long term thus compounding investment returns and minimizing tax burdens. Mark focuses on growing and maintaining invested capital by identifying great businesses in attractive industries which will increase earnings over decades.

Previous Experience/Career Highlights:

Prior to joining Wellington Shields & Co. Mark was a Financial Advisor and Senior Director of Investments at Oppenheimer and Company’s Private Client Division beginning in 2010. He managed client portfolios utilizing fundamental research and has a specialization in the industrial sector and construction management firms in particular. While at Oppenheimer, Mark earned his MBA from NYU’s Stern School of Business with a specialty in finance. Mark’s love of the public equity markets began while pursuing his BA of Economics at The Colorado College. Upon graduating in 1990, he volunteered for the US Peace Corps and taught health education focusing on clean drinking water and proper sanitation techniques. Then, after studying construction management and architecture in St. Louis, he relocated to Manhattan and built some of the most iconic and challenging projects in New York City. Mark then brought his career full circle by combining his love of economics and finance with fifteen years of real world work experience in construction management.

Education and Certification:

• NYU Stern School of Business: MBA – Finance
• FINRA: Series 7, 66
• Washington University Saint Louis: MCM (Master of Construction Management)
• Washington University Saint Louis: MARCH (Master of Architecture)The Colorado College: BA – Economics

Other Interests and/or Affiliations:

Mark resides in Manhattan with his wife and four children. He enjoys ice hockey, golf and bicycling.

Year joined Wellington Shields & Co.:

2018

Current:

Noel has been a wealth advisor for over 50 years, and in the last 25 years mostly on a discretionary or advisory basis.

Previous Experience/Career Highlights:

Noel was a First Vice President in the Private Client Group at Janney Montgomery Scott since 2003. Prior to that, he was a Financial Advisor with RBC Dain Rauscher, Tucker Anthony Incorporated, L.F. Rothschild & Co. Inc., Prescott, Ball & Turben, Moore & Schley, Cameron & Co. and Heine, Fishbein & Co., and Herold, Kastor and Gerald. He got his start in the accounting department of W.E. Hutton & Co. Prior to that Noel was in the United States’ Naval Reserves from 1964-1965.

Education and Certifications:

• Attended Brooklyn College, LIU and BMCC
• FINRA: Series 1 (Registered Representative), Series 65 (Investment Advisor) and Series 63

Other Interests and/or Affiliations:

Outside the office, Noel spends most of his free time traveling between California and Washington, DC to see his four grandchildren.