Steve PortasChief Compliance Officer

Year Joined Wellington Shields:

2011

Current:

Steve is the 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.

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
  • Former Member: FINRA SIE and FINRA Membership Committees
  • 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.

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