Alan S. BraunshweigerSenior Wealth Advisor

Year joined H.G. Wellington:



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.

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