Year joined H.G. Wellington:
1978
Current:
Joe is a problem-solver. He works with Senior Management, Compliance, Accounting, Financial Advisors and Client Service Associates. When problems arise, he researches them to bring about a quick solution to ensure an overall positive experience.
Previous Experience/Career Highlights:
Joe has been associated with Wellington Shields or its predecessor firms for 58 years as of 2018.
While a student at Brooklyn Community College in 1960, Joe began his finance career as a messenger at McMullen and Hard. He continued his studies at the New York Institute of Finance. He was quickly promoted to the operations area where he performed many time-consuming back office tasks such as stock record, P&S, and margin. Joe remained with the combined firms after the merger with H.G. Wellington & Company in 1978 and when Wellington merged with Shields & Company in 2009. Over the years, Joe’s role expanded as he took on more responsibilities as VP of Operations.
Other Interests and/or Affiliations:
Joe is beloved “grandpa” to his seven grandchildren. He and his wife enjoy cheering them on at sporting events and performances.
Year joined H.G. Wellington:
2004
Current:
James provides operational support and Informational Technology for all departments and branch offices.
Previous Experience/Career Highlights:
James has 18 years of experience in IT, including positions at Exenet monitoring internet credit card sales transactions, and at Level3 maintaining server and PC integrity. Earlier on, James worked in London as a musician’s agent, booking various musical acts throughout the UK and Europe.
Education and Certifications:
- Borough of Manhattan Community College, Accounting
- Chubb Institute, Network Engineering Degree
- Microsoft and Cisco Certification
Other Interests and/or Affiliations:
James and his family are world travelers—next up: Japan! He enjoys concerts, playing chess, backgammon, electric and acoustic guitar, mandolin and ukulele and is an astute collector of single malt Scotch.
Year joined Shields & Company:
2000
Current:
As a Trader, Ted works with the firm’s brokers, investment advisors, and the various groups of the firm to make sure we get the best possible executions for our clients, both institutional and retail. He has been the NYSE Floor Supervisor for Wellington Shields since 2010.
Previous Experience/Career Highlights:
Ted worked for various Wall Street firms over his career on the NYSE floor as a Clerk, including: Quick & Reilly, Rob, Peck & McCooey and Adler Coleman.
Education and Certifications:
- John Jay College – attended
- FINRA Licenses: Series 4, 7, 9, 10, 12, 23, 25, 55, 63
Other Interests and/or Affiliations:
- Security Traders Association of New York, Member
- Ted is married and has two children. He is a Board Member of Monroe Woodbury Pop Warner Football and is the Director of Cheerleading. Ted has spent many years as a Cheerleading Coach. He is also the Scholarship Chair for Rockland County Pop Warner.
Year joined Shields & Company:
2002
Current:
Philip is in charge of all facets of the financial operations for Wellington Shields and manages the Accounting, HR and Operations personnel. On a daily basis, Phil interfaces with Senior Management, Compliance, and Trading, and is responsible for fulfilling all financial reporting requirements and inquiries as promulgated by the firm’s various regulatory agencies (FINRA, SEC, etc.). When issues arise, he works with his team to bring about a quick and satisfactory resolution.
Previous Experience/Career Highlights:
Philip joined Shields & Company in 2002 as Chief Financial Officer and, in 2006 assumed the responsibilities of Chief Operations Officer of Shields & Co., Inc. When Shields & Co. merged with H.G. Wellington & Company in 2009, Phil’s role expanded across the larger organization. Earlier in his career, Phil held various senior accounting positions at Josephthal & Co. Inc. (which was acquired by Fahnestock & Co. Inc.).
Education and Certifications:
- SUNY Albany, BA
- Baruch College, MBA – Accountancy
- FINRA: Series 27 – FINOP
Year Joined Wellington Shields:
2011
Current:
Steve is the President and Chief Compliance Officer (CCO) of Wellington Shields & Co. LLC and Wellington Shields Capital Management. He joined Wellington as a Senior Vice President in Compliance in 2011 after serving as CCO of Midwood Securities, Inc. He was appointed CCO at Wellington in 2013 and named President in 2023.
Previous Experience/Career Highlights:
Midwood Securities, Inc. – Chief Compliance Officer (1992-2011)
Education and Certifications:
- Villanova University, BA – Accounting
- Securities Industry Institute Wharton Program
- FINRA: Series 7, 8, 14, 24, 57, 63
Other Interests and/or Affiliations:
- Member of FINRA Series 99 Committee
- Member Securities Industry Council on Continuing Education
- Steve resides in New Jersey with his wife and children. In his free time, he is active in coaching youth sports and participating in local charitable events.
Year Joined Wellington Shields:
2011
Current:
Edward March is the Chief Operating Officer of Wellington Shields & Co. LLC (2018). Additionally, he is Head Trader and is the firm’s Municipal Principal and Options Principal. Ed joined Wellington Shields as a Senior Vice President after closing his own firm Midwood Securities, Inc. in 2011 and was named Head Trader in August 2012.
Previous Experience/Career Highlights:
Ed joined Midwood Securities in 1995 and was the President from 2005 until 2011 and Chief Executive Officer from 2008 until 2011. He supervised all trading activity and was in charge of the firm’s information technology and communications systems. He oversaw the daily activity on the firm’s trading desks in New York City and in Freehold, New Jersey, and managed both individual client relationships and the firm’s overall sales & marketing efforts. Under Ed’s stewardship, Midwood’s equity execution performance had consistently been at the top of its peer list, as measured by Elkins/McSherry Co., a highly regarded trading-cost consultant. The results mirrored Ed’s philosophy of building long-term relationships and serving institutional investors with independent guidance, integrity, confidentiality, reliability, and quality.
Previously, he was with Tucker Anthony, Inc. in Municipal Syndicate. Ed began his career on Wall Street as an Intern at Shearson Lehman/American Express.
Education and Certifications:
- Lafayette College, BA – Economics, Russian Studies minor
- Securities Industry Institute at Wharton School of Business
- FINRA Licenses: Series 4, 7, 24, 53, 57, 63, 87, 99
Other Interests and/or Affiliations:
Ed is a member of the Securities Traders Association of New York (STANY) and currently serves on several FINRA Content committees. He is a past member of SIFMA’s Trading Committee and SIFMA’s Institutional Brokerage Committee.
He resides in New Jersey with his wife and daughter, where they are active members of their church. In his free time he enjoys reading, bicycling and weightlifting.
