Steve PortasPresident, Chief Compliance Officer
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.
