Year joined H.G. Wellington:

2008

Current:

Don’s investment philosophy has been honed over his extensive investment career. He likes to buy a combination of attractively priced growth stocks (GARP—growth at a reasonable price) and value stocks. He incorporates some small and mid-cap stocks in his portfolio mix. Don believes in doing deep fundamental research on a company and the management before buying any stock.

Previous Experience/Career Highlights:

Don joined H.G. Wellington in 2008 as a Relationship Portfolio Manager, shortly before the 2009 merger with Shields & Co. which formed Wellington Shields & Co. Don brought with him extensive experience in the asset management field having worked with high net worth individuals and pension funds for over four decades at various well-regarded firms.

• At Republic Bank (acquired by HSBC), he was a Vice President and Senior Portfolio/Relationship Manager and designed asset allocation models for clients throughout the US, especially California, and Canada.
• Prior to that, he was a Vice President and Senior Portfolio/Relationship Manager at Chase Manhattan Bank (now JP Morgan) within the Investment Management Division and was known for his very successful new business development efforts.
• In the mid-80s, Don was also at H.G. Wellington & Co. as a Portfolio Manager and a member of the Stock Selection Committee.
• In the early 80’s, Don was an Assistant Vice President in Marketing at Manufacturers Hanover (acquired by Chemical Bank and then Chase Bank) marketing the firm’s investment research services to banks, insurance companies, corporate pension funds, and investment counsellors primarily located in the Southeast and Midwest.
• Before he was recruited by Manufacturers Hanover, he was an Assistant Vice President in Marketing at Fiduciary Trust where he successfully sold a broad range of financial and investment services spanning domestic and international markets.
• Don got his start at The US Trust Company as an Investment Officer managing investment and trust accounts. He was there more than nine years.

Education and Certifications:

• University of Tennessee, BS – Finance

Other Interests and/or Affiliations:

• Member CFA New York (CFANY formerly NYSSA)
• Member of The Yale Club, NY
• Veteran, US Army
• Proud Husband, Father & Grandfather of two

Year joined H.G. Wellington:

2003

Current:

As a registered representative for over 60 years, Alan looks for long-term value and special situations when exploring for stock ideas. He particularly likes stocks with increasing earnings and dividends year after year because this tends to enhance their value greatly over their original purchase price.

Previous Experience/Career Highlights:

Alan joined Wellington Shields in 2009 through the merger with H.G Wellington & Co. where he was a Broker and Supervisory Analyst since 2003. Prior to that, Alan was a Supervisory Analyst with Ernst & Company for ten years and a Partner and Research Analyst covering Special Situations at Edward A. Viner & Company for several years. Alan began his career at Bache & Company in 1957 as a clerk.

Alan also taught evening adult education courses held at the Bronx’s JFK and Dewitt Clinton High Schools. He went on to teach the Investments course for the Financial Planning Program at Adelphi University, Lehman College and Fairleigh Dickenson University.

Education and Certifications:

• Babson Institute of Business Administration (now Babson College), BS – Business Administration
• NYU Graduate School of Business (Stern), MBA
• The Institute of Financial Planning of Adelphi University, Certified Financial Planner
• FINRA Licenses: Series 7, 8, 16, 24, 63, 65

Other Interests and/or Affiliations:

Alan served as an Arbitrator for the NYSE Arbitration Board, was an Arbitrator for NASDAQ and is currently an Arbitrator for FINRA. He has also been a member of the NYSE Hearing Panel for Disciplinary Action for many years. Alan enjoys trips to Israel and Florida to spend time with his family. He is famed for his stylish bowties and suspenders, and generous sense of humor.

Year joined H.G. Wellington:

1998

Current:

Georges brings over 30 years of experience as a wealth advisor serving a range of clients from small individual accounts to mid-sized institutions. Georges believes that wealth creation is still a crucial component of wealth management. He has particular expertise discovering, researching, and investing in small developing companies with the potential for significant capital appreciation. He also has extensive experience in fixed income securities and in selecting mutual funds and ETF’s for diversified portfolios.

Previous Experience/Career Highlights:

Georges joined Wellington Shields in 2009 through the merger with H.G. Wellington & Co., which he joined in 1998. Before that, Georges worked at Spencer Trask and Paine Webber. From 1987 – 1992 he was at Kidder Peabody, where he earned the title of Vice President. Georges got his start in finance at Merrill Lynch with the successful completion of the firm’s Broker Training Program becoming registered in February of 1985.

Earlier, Georges co-founded a family-owned ski clothing importer/manufacturer. He traveled extensively throughout the US and Europe and was involved in all aspects of the business—including sales, credit and collections, and manufacturing.

Education and Certifications:

• University of Denver, BA – French, 1974
• University of Denver, MBA, 1976
• FINRA Licenses: Series 7, 63, 65

Other Interests and/or Affiliations:

Georges enjoys the outdoors, especially skiing with his family, fly fishing, and travel.

Year joined H.G. Wellington:

1993

Current:

Larry believes in investing for the long term without being overly reactionary to the more momentary market “noise.” Understanding the client’s short and long term needs, and listening to their input, is central to Larry’s investment strategy and recommendations before considering if a conservative, balanced or more aggressive style is appropriate. Larry reads a multitude of research material before making investment decisions, including: annual reports, research reports, Barron’s, Wall Street Journal, and Bloomberg.

Previous Experience/Career Highlights:

Prior to the merger which formed Wellington Shields & Co. in 2009, Larry had been a Vice President and Portfolio Manager at H.G. Wellington working with high net worth individuals since 1993. Before that, he had extensive experience in similar roles at several prestigious firms including Shearson Lehman, Alex Brown & Sons, Hornblower Weeks, Hemphill, Noyes & Co. and Spencer Trask.

Education and Certifications:

• Yale University, BA – American Studies
• NYU Stern (coursework in Accounting & Business Administration)
• FINRA Licenses: Series 1, 7, 63, 65

Other Interests and/or Affiliations:

Larry and his wife enjoy Caribbean travel—especially swimming-snorkeling-sailing. He is a member of The Yale Club, The Union Club, Southampton’s Meadow Club and the Breakwater Yacht Club of Sag Harbor. Larry, as a Member of the Men’s Committee, and his wife, as a Member of the Board, have lent generous assistance and support to the Southampton Fresh Air Home, which provides a celebrated summer camp for special needs children.

Year joined Wellington Shields: 

2016

Current:

Jason Weissman is the Senior Director of the Equity Risk Management Division at Wellington Shields & Co, LLC.Jason joined Wellington to develop and manage our Equity Risk Management, Strategic Option Solutions, and Risk-Adjusted Portfolio Management practices.

Previous Experience/Career Highlights:

Prior to joining us, Mr. Weissman was at Bishop Rosen & Co. Inc. where he built and served as the Senior Director of their Equity Risk Management Division. At Bishop Rosen, Mr. Weissman counseled officers, directors, and high-level employees of publicly-traded corporations regarding strategies for their ESPP, ESOP plans, and respective concentrated equity and options holdings.

Before his tenure at Bishop Rosen, Mr. Weissman was at Wachovia Securities and was a member of the Chairman’s Circle of Excellence, the Director’s Club and the Chairman’s Advisory Circle. At Wachovia, Mr. Weissman was the Northeast Advisor who counseled publicly traded corporations about their ESPP and ESOP plans. Prior to his work with Wachovia, Mr. Weissman served as a Senior Vice President at Morgan Stanley, where he first began to create concentrated asset management and risk-adjusted portfolio strategies. At Morgan Stanley, he was a recognized member of both the Director’s Club and President’s Club. Mr. Weissman earned a number of merit awards, including the Award for Outstanding Achievement and the National Sales Director Award. Mr. Weissman began his career at Gruntal, where he served as an Associate Financial Advisor.

Year joined H.G. Wellington:

1991

Current:

Tim believes in a growth stock strategy. He works hard to come up with new ideas for his clients. He typically invests new money in companies whose earnings are expected to grow at an above-average rate compared to its industry or the overall market.

Previous Experience/Career Highlights:

Tim joined H.G Wellington, the predecessor firm to Wellington Shields & Co., in 1991 as the President and CEO. Following the merger with Shields and Company in 2009, he became Co-President of the combined companies until 2012 when he was named Vice Chairman of Wellington Shields Capital Management. During the period 1996-2006 he was also the President, CEO and Director of the Pax World Funds, the first socially responsible mutual fund group. Earlier, Tim was a Senior Partner at Fahnestock & Co. for 24 years during which he was Syndicate Manager in charge of both Investment Banking and Municipal Banking. For a period of time, Fahnestock was a division of Nesbitt Thomson a predecessor firm of Nesbitt Burns, based in Toronto, and Tim was recognized for his leadership skills there. Throughout his career, Tim has served on numerous boards including NASD (District 12) and was appointed Director of the Securities Investor Protection Corporation (SIPC) from 2003-2007. He was appointed to New York Area Firms Advisory Committee of the NYSE from 1994-1997 and chosen as a member of the Senior Governing Council of the Securities Industry Association (now SIFMA), from 1977-1979.  Tim was a Sergeant in the US Army.

Education and Certifications:

• University of North Carolina, BA

Other Interests and/or affiliations:

Tim cherishes his time spent with his wife, children, and grandchildren. You may find Tim on the tennis court, but not with quite the same fervor he reserves for golf and he’s an avid reader of novels.

Year Joined H.G. Wellington:

1978

Current:

Paul believes that making money takes time, but it can only be done with an eye on the future.  Paul serves as the Co-CIO of the Wellington Shields Investment Policy Committee and is the author of the quarterly investment letter to Capital Management clients.

Previous Experience/Career Highlights:

Prior to the merger with Shields & Co. in 2009, Paul was a Division Head and Chief Investment Officer at H.G. Wellington and he was a frequent contributor on CNBC for many years.

During the period July 2002 to November 2006, Paul was also the Chief Investment Officer of the Pax Growth Fund, a multi-cap socially responsible growth fund.

He had joined H.G. Wellington in 1978 as a result of the merger with McMullen & Hard, where Paul was a General Partner and Senior Portfolio Manager since 1970.

Earlier, Paul was an investment specialist at The Bank of New York and he got his start in the asset management field working with his Father, who was also in the investment field. Paul served two tours of duty with the U.S. military, the last as a Captain in the Republic of South Vietnam.

Education and Certifications:

• University of Virginia, BA
• NYU Graduate School of Business (now Stern), studied Accounting & Economics

Other Interests and/or affiliations:

Paul is a proud Husband, Father and Grandfather and he enjoys gardening in his free time. Throughout his life, Paul has been involved in his community whether it was at UVA when he was President of the UVA Polo Association or locally as a member of the Board of Directors of Monmouth Medical Center, as the Head of The Riverside Drive Association, Monmouth County, NJ, and as a Member of the Board of Directors Rumson Country Day School.

Year joined H.G. Wellington

1986

Current:

At Wellington Shields, Larry believes that a disciplined investment strategy, mostly in equities, is the key to good long-term returns for his customers and family. Larry looks for high-quality investment ideas using many resources.

Previous Experience/Career Highlights:

Larry was a managing director of H.G. Wellington from 1986-2009 when the firm merged with Shields & Company to form Wellington Shields & Co., LLC.  He had 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, Larry worked for Moore & Schley as a registered representative and Limited Partner from 1972-1985.

Mr. Shadek is the former Chairman 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. He has served as a panelist for the NYSE Department of Enforcement Hearing Board, as a NYSE Arbitrator, and was a past president of the Wall Street Sales Management Association.

Education and Certifications:

• Franklin & Marshall College, BA
• NYU Stern School of Business, MBA

Other Interests and/or affiliations:

• Larry serves on the Board of Trustees at Franklin & Marshall College
• Larry is a current Commissioner of the Men’s Basketball League in Alpine, NJ, Council Member of the City of Alpine, NJ and a previous member of the Alpine NJ Board of Education for 9 years
• Larry enjoys golf and flying in his spare time

Year joined Wellington Shields:

2011

Current:

Gail M. Dudack is the Chief Market Strategist both at Wellington Shields and its Dudack Research Group division, an independent institutional research firm, she founded, that provides economic, fundamental, quantitative and technical strategy and tools to mutual funds, hedge funds, and private money managers. Dudack Research Group became a division of Wellington Shields & Co. LLC, a NYSE member firm, in 2011 when Midwood Securities, Inc. joined Wellington Shields.

Previous Experience/Career Highlights:

Prior to setting up her own firm under Midwood Securities, Inc. in 2006, Gail was the Chief U.S. Investment Strategist for UBS AG and its predecessor firms beginning with S.G. Warburg PLC. She began her Wall Street career at the Pershing division of Donaldson, Lufkin & Jenrette Inc. (now Credit Suisse Group AG).

Gail was the president of the Donaldson, Lufkin & Jenrette Inc. Employees Federal Credit Union from 1977 to 1980 and trustee of the S.G. Warburg Employee Retirement Board from 1988-1995. She was president of the Market Technicians Association from 1985 to 1987, and a member of the New York Society of Security Analysts Board of Directors form 1989-1991 and a member of the NYSSA Advisory Council.  She is a founding member of the International Federation of Technical Analysts, a past arbitrator for the NASD and a past member of the Department of Labor’s Business Research Advisory Council (BRAC) for consumer and producer price indices. She is a trustee emerita and past Chair (2003-2005) of the Securities Industry Institute, the professional education body of the Securities Industry and Financial Markets Association (SIFMA). Gail was a panelist on “Wall $treet Week with Louis Rukeyser” for over 20 years and appeared on the subsequent PBS show “Wall Street Week with Fortune”. She has been a guest on CNBC, “Nightly Business Report” (PBS), Bloomberg TV and Bloomberg Radio. She is a popular speaker at a variety of business and investment forums both domestically and abroad.

Gail attained the Chartered Market Technician (CMT) designation in 1990 awarded by the Market Technicians Association (MTA) and in early 1997, received the MTA’s “Best of the Best Award” for her price analysis and market forecasting for the previous five-year period. In May 2007, she received the MTA’s Annual Award honoring both her career and her contribution to the professional organization. Skidmore College presented her with their Special Achievement Award in June 2001. Gail received Skidmore’s Outstanding Service Award in June 2010 and was honored to have the boardroom in Skidmore’s Career Development Center named in her honor in October 2015.  She has contributed to several documentaries and books on the stock market and the industry is featured in “Bull! A History of the Boom, 1982-1999” by Maggie Mahar (Harper Business 2003) and is the subject of a chapter in “The Heretics of Finance” by Andrew W. Lo and Jasmina Hasanhodzic (Bloomberg Press 2009).

Education and Certifications:

• Skidmore College, BA – Economics
• Market Technicians Association (MTA)
• Chartered Market Technician®
• CMT Association®, Member
• FINRA Licenses: Series 1, 7, 63, 86, 87

Other Interests and/or Affiliations:

Gail was the Co-Chair of Skidmore College’s Parents Council (2009-2011), the President of the Skidmore Alumni Association 2011-2014, a member of Skidmore’s Board of Trustees (2011-2014) and is a member of several professional organizations including the Women’s Forum in NY, where she was formerly a member of the Finance Committee.

She resides in Ponte Vedra Beach, Florida with her rescue dog, Coco. She is an avid tennis player and loves being active.