VP, Operations & Compliance
Year joined H.G. Wellington: 1978
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.