Chief Compliance Officer
Year joined Wellington Shields: 2011
Steve is the Chief Compliance Officer (CCO) of Wellington Shields & Co. LLC. He joined Wellington as a Senior Vice President in Compliance when Midwood Securities, Inc. closed in 2011 and he was appointed CCO of 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.