Steve Portas 2018-07-05T10:33:10+00:00

Project Description

Steve Portas

Chief Compliance Officer

Year joined Wellington Shields: 2011

Current:
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.

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