WELLINGTON SHIELDS & CO., LLC
CRD #149021 SEC #801-70755 NEW YORK, NY 212-320-2000
SEC Registered Broker-Dealer
Total AUM
$470.9M
Discretionary
$430.5M
Employees
25
Clients
--
Accounts
524
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- New York
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 24, 2025
- Branch Offices
- 2
- LEI
- 254900ULLOEJ3RYQ9S69
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CEMBROLA, JOSEPH NICHOLAS | I | MEMBER OPERATIONS | NA | |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| CURCURU, PHILIP MICHAEL | I | CFO/COO | NA | Control |
| GRANT, THOMAS WATERS | I | CO-CEO/MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | CO-CEO/MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | CO-CEO/MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | CO-CEO/MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | CO-CEO/MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | CO-CEO/MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | CO-CEO/MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | CO-CEO/MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | CO-CEO/MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | CO-CEO/MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | MANAGING MEMBER | NA | Control |
| GRANT, THOMAS WATERS | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| GULDEN, PAUL IMMO JR | I | MANAGING MEMBER | NA | Control |
| KIRCHER, MARGUERITE KRAMER | I | CO-SROP/CO-CROP | NA | Control |
| KIRCHER, MARGUERITE KRAMER | I | CO-SROP/CO-CROP | NA | Control |
| KIRCHER, MARGUERITE KRAMER | I | CO-SROP/CO-CROP | NA | Control |
| KIRCHER, MARGUERITE KRAMER | I | CO-SROP/CO-CROP | NA | Control |
| KIRCHER, MARGUERITE KRAMER | I | CO-SROP/CO-CROP | NA | Control |
| KIRCHER, MARGUERITE KRAMER | I | CO-SROP/CO-CROP | NA | Control |
| KIRCHER, MARGUERITE KRAMER | I | CO-SROP/CO-CROP | NA | Control |
| KIRCHER, MARGUERITE KRAMER | I | CO-SROP/CO-CROP | NA | Control |
| KIRCHER, MARGUERITE KRAMER | I | CO-SROP/CO-CROP | NA | Control |
| KIRCHER, MARGUERITE KRAMER | I | CO-SROP/CO-CROP | NA | Control |
| KIRCHER, MARGUERITE KRAMER | I | CO-SROP/CO-CROP | NA | Control |
| KIRCHER, MARGUERITE KRAMER | I | CO-SROP/CO-CROP | NA | Control |
| KIRCHER, MARGUERITE KRAMER | I | CO-SROP/CO-CROP | NA | Control |
| KIRCHER, MARGUERITE KRAMER | I | CO-SROP/CO-CROP | NA | Control |
| KIRCHER, MARGUERITE KRAMER | I | CO-SROP/CO-CROP | NA | Control |
| KIRCHER, MARGUERITE KRAMER | I | CO-SROP/CO-CROP | NA | Control |
| MARCH, EDWARD KENNETH | I | SENIOR VICE PRESIDENT, HEAD OF TRADING | NA | Control |
| MARCH, EDWARD KENNETH | I | SENIOR VICE PRESIDENT, HEAD OF TRADING, MSRB PRINCIPAL | NA | Control |
| MARCH, EDWARD KENNETH | I | SENIOR VICE PRESIDENT, HEAD OF TRADING, MSRB PRINCIPAL | NA | Control |
| MARCH, EDWARD KENNETH | I | SENIOR VICE PRESIDENT, HEAD OF TRADING, MSRB PRINCIPAL | NA | Control |
| MARCH, EDWARD KENNETH | I | SENIOR VICE PRESIDENT, HEAD OF TRADING, MSRB PRINCIPAL | NA | Control |
| MARCH, EDWARD KENNETH | I | SENIOR VICE PRESIDENT, HEAD OF TRADING, MSRB PRINCIPAL | NA | Control |
| MARCH, EDWARD KENNETH | I | SENIOR VICE PRESIDENT, HEAD OF TRADING, MSRB PRINCIPAL | NA | Control |
| MARCH, EDWARD KENNETH | I | SVP, HEAD OF TRADING, MSRB PRINCIPAL, CO SROP/CROP | NA | Control |
| MARCH, EDWARD KENNETH | I | SVP, HEAD OF TRADING, MSRB PRINCIPAL, CO SROP/CROP | NA | Control |
| MARCH, EDWARD KENNETH | I | SVP, HEAD OF TRADING, MSRB PRINCIPAL, CO SROP/CROP | NA | Control |
| MARCH, EDWARD KENNETH | I | SVP, HEAD OF TRADING, MSRB PRINCIPAL, CO SROP/CROP | NA | Control |
| MARCH, EDWARD KENNETH | I | SVP, HEAD OF TRADING, MSRB PRINCIPAL, CO SROP/CROP | NA | Control |
| MARCH, EDWARD KENNETH | I | SVP, HEAD OF TRADING, MSRB PRINCIPAL, CO SROP/CROP | NA | Control |
| MARCH, EDWARD KENNETH | I | SVP, HEAD OF TRADING, MSRB PRINCIPAL, CO SROP/CROP | NA | Control |
| MARCH, EDWARD KENNETH | I | SVP, HEAD OF TRADING, MSRB PRINCIPAL, CO SROP/CROP | NA | Control |
| MARCH, EDWARD KENNETH | I | SVP, HEAD OF TRADING, MSRB PRINCIPAL, CO SROP/CROP | NA | Control |
| MARCH, EDWARD KENNETH | I | SVP, HEAD OF TRADING, MSRB PRINCIPAL, CO SROP/CROP | NA | Control |
| MARCH, EDWARD KENNETH | I | SVP, HEAD OF TRADING, MSRB PRINCIPAL, CO SROP/CROP | NA | Control |
| MARCH, EDWARD KENNETH | I | SVP, HEAD OF TRADING, MSRB PRINCIPAL, CO SROP/CROP | NA | Control |
| MARCH, EDWARD KENNETH | I | SVP, HEAD OF TRADING, MSRB PRINCIPAL, SROP/CROP | NA | Control |
| MARCH, EDWARD KENNETH | I | SVP, HEAD OF TRADING, MSRB PRINCIPAL, SROP/CROP | NA | Control |
| MARCH, EDWARD KENNETH | I | SVP, HEAD OF TRADING, MSRB PRINCIPAL, SROP/CROP | NA | Control |
| MARCH, EDWARD KENNETH | I | SVP, HEAD OF TRADING, MSRB PRINCIPAL, SROP/CROP | NA | Control |
| MCFADDEN, WILLIAM JAMESON | I | PRESIDENT | NA | Control |
| MCFADDEN, WILLIAM JAMESON | I | PRESIDENT | NA | Control |
| MCFADDEN, WILLIAM JAMESON | I | PRESIDENT | NA | Control |
| MCFADDEN, WILLIAM JAMESON | I | PRESIDENT | NA | Control |
| MCFADDEN, WILLIAM JAMESON | I | PRESIDENT | NA | Control |
| MCFADDEN, WILLIAM JAMESON | I | PRESIDENT | NA | Control |
| MCFADDEN, WILLIAM JAMESON | I | PRESIDENT | NA | Control |
| MCFADDEN, WILLIAM JAMESON | I | PRESIDENT | NA | Control |
| MCFADDEN, WILLIAM JAMESON | I | PRESIDENT | NA | Control |
| MCFADDEN, WILLIAM JAMESON | I | PRESIDENT | NA | Control |
| MCFADDEN, WILLIAM JAMESON | I | PRESIDENT | NA | Control |
| MCFADDEN, WILLIAM JAMESON | I | PRESIDENT | NA | Control |
| MCFADDEN, WILLIAM JAMESON | I | CEO | NA | Control |
| MCFADDEN, WILLIAM JAMESON | I | CEO | NA | Control |
| MCFADDEN, WILLIAM JAMESON | I | CEO | NA | Control |
| MCFADDEN, WILLIAM JAMESON | I | CEO | NA | Control |
| MEYER, CHRISTOPHER FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, CHRISTOPHER FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, CHRISTOPHER FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, CHRISTOPHER FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, CHRISTOPHER FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, CHRISTOPHER FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, CHRISTOPHER FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, CHRISTOPHER FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, CHRISTOPHER FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PORTAS, STEPHEN JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PORTAS, STEPHEN JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PORTAS, STEPHEN JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PORTAS, STEPHEN JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PORTAS, STEPHEN JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PORTAS, STEPHEN JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PORTAS, STEPHEN JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PORTAS, STEPHEN JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PORTAS, STEPHEN JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PORTAS, STEPHEN JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PORTAS, STEPHEN JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PORTAS, STEPHEN JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PORTAS, STEPHEN JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PORTAS, STEPHEN JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PORTAS, STEPHEN JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PORTAS, STEPHEN JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PORTAS, STEPHEN JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PORTAS, STEPHEN JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PORTAS, STEPHEN JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PORTAS, STEPHEN JOHN | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| PORTAS, STEPHEN JOHN | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| PORTAS, STEPHEN JOHN | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| PORTAS, STEPHEN JOHN | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| SCARPA, RALPH JOSEPH | I | CO-CEO/MANAGING MEMBER | NA | Control |
| SCARPA, RALPH JOSEPH | I | CO-CEO/MANAGING MEMBER | NA | Control |
| SCARPA, RALPH JOSEPH | I | CO-CEO/MANAGING MEMBER | NA | Control |
| SCARPA, RALPH JOSEPH | I | CO-CEO/MANAGING MEMBER | NA | Control |
| SCARPA, RALPH JOSEPH | I | CO-CEO/MANAGING MEMBER | NA | Control |
| SCARPA, RALPH JOSEPH | I | CO-CEO/MANAGING MEMBER | NA | Control |
| SCARPA, RALPH JOSEPH | I | CO-CEO/MANAGING MEMBER | NA | Control |
| SCARPA, RALPH JOSEPH | I | CO-CEO/MANAGING MEMBER | NA | Control |
| SCARPA, RALPH JOSEPH | I | CO-CEO/MANAGING MEMBER | NA | Control |
| SCARPA, RALPH JOSEPH | I | CO-CEO/MANAGING MEMBER | NA | Control |
| SCARPA, RALPH JOSEPH | I | CO-CEO/MANAGING MEMBER | NA | Control |
| SCARPA, RALPH JOSEPH | I | CO-CEO/MANAGING MEMBER | NA | Control |
| SCARPA, RALPH JOSEPH | I | CO-CEO/MANAGING MEMBER | NA | Control |
| SCARPA, RALPH JOSEPH | I | CO-CEO/MANAGING MEMBER | NA | Control |
| SCARPA, RALPH JOSEPH | I | MANAGING MEMBER | NA | Control |
| SCARPA, RALPH JOSEPH | I | CO-CEO/MANAGING MEMBER | NA | Control |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, JAMES MCCLENAHAN | I | MEMBER-SALES | NA | |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY/CO-SROP/CO-CROP | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY | NA | Control |
| SHADEK, LAURENCE ARTHUR | I | MANAGING MEMBER/SECY | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, DAVID VINCENT | I | CHAIRMAN/MANAGING MEMBER | NA | Control |
| SHIELDS, JOSEPH VINCENT JR | I | CHAIRMAN/ MANAGING MEMBER | NA | Control |
| SHIELDS, JOSEPH VINCENT JR | I | CHAIRMAN/ MANAGING MEMBER | NA | Control |
| SHIELDS, JOSEPH VINCENT JR | I | CHAIRMAN/ MANAGING MEMBER | NA | Control |
| SHIELDS, JOSEPH VINCENT JR | I | CHAIRMAN/ MANAGING MEMBER | NA | Control |
| SHIELDS, JOSEPH VINCENT JR | I | CHAIRMAN/ MANAGING MEMBER | NA | Control |
| SHIELDS, JOSEPH VINCENT JR | I | CHAIRMAN/ MANAGING MEMBER | NA | Control |
| SHIELDS, JOSEPH VINCENT JR | I | CHAIRMAN/ MANAGING MEMBER | NA | Control |
| SHIELDS, JOSEPH VINCENT JR | I | CHAIRMAN/ MANAGING MEMBER | NA | Control |
| SHIELDS, JOSEPH VINCENT JR | I | CHAIRMAN/ MANAGING MEMBER | NA | Control |
| SHIELDS, JOSEPH VINCENT JR | I | CHAIRMAN/ MANAGING MEMBER | NA | Control |
| SHIELDS, JOSEPH VINCENT JR | I | CHAIRMAN/ MANAGING MEMBER | NA | Control |
| SHIELDS, JOSEPH VINCENT JR | I | CHAIRMAN/ MANAGING MEMBER | NA | Control |
| SHIELDS, JOSEPH VINCENT JR | I | CHAIRMAN/ MANAGING MEMBER | NA | Control |
| SHIELDS, JOSEPH VINCENT JR | I | CHAIRMAN/ MANAGING MEMBER | NA | Control |
| SHIELDS, JOSEPH VINCENT JR | I | CHAIRMAN/ MANAGING MEMBER | NA | Control |
| SHIELDS, JOSEPH VINCENT JR | I | CHAIRMAN/ MANAGING MEMBER | NA | Control |
| SHIELDS, JOSEPH VINCENT JR | I | CHAIRMAN/ MANAGING MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| SPERRY, MARK PORTER | I | MEMBER | NA | Control |
| VANCLEVE, KEVIN PATRICK | I | MSRB PRINCIPAL | NA | Control |
| VANCLEVE, KEVIN PATRICK | I | MSRB PRINCIPAL | NA | Control |
| VANCLEVE, KEVIN PATRICK | I | MSRB PRINCIPAL | NA | Control |
| VANCLEVE, KEVIN PATRICK | I | MSRB PRINCIPAL | NA | Control |
| VANCLEVE, KEVIN PATRICK | I | MSRB PRINCIPAL | NA | Control |
| VANCLEVE, KEVIN PATRICK | I | MSRB PRINCIPAL | NA | Control |
| VANCLEVE, KEVIN PATRICK | I | MSRB PRINCIPAL | NA | Control |
| VANCLEVE, KEVIN PATRICK | I | MSRB PRINCIPAL | NA | Control |
| VANCLEVE, KEVIN PATRICK | I | MSRB PRINCIPAL | NA | Control |
| VANCLEVE, KEVIN PATRICK | I | MSRB PRINCIPAL | NA | Control |
| WELLINGTON, CHARLES H | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| WELLINGTON, CHARLES H | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| WELLINGTON, CHARLES H | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| WELLINGTON, CHARLES H | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| WELLINGTON, CHARLES H | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| WELLINGTON, CHARLES H | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| WELLINGTON, CHARLES H | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| WELLINGTON, CHARLES H | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| WELLINGTON, CHARLES H | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| WELLINGTON, CHARLES H | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| WELLINGTON, CHARLES H | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| WELLINGTON, CHARLES H | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| WELLINGTON, CHARLES H | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| WELLINGTON, CHARLES H | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| WELLINGTON, CHARLES H | I | VICE CHAIRMAN/MANAGING MEMBER | NA | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
| WELLINGTON SHIELDS HOLDINGS, LLC | DE | OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| SHIELDS, DAVID VINCENT | I | ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | F | Control |
| SHIELDS, DAVID VINCENT | I | ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | F | Control |
| SHIELDS, DAVID VINCENT | I | ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | F | Control |
| SHIELDS, DAVID VINCENT | I | ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | F | Control |
| SHIELDS, DAVID VINCENT | I | ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | F | Control |
| SHIELDS, DAVID VINCENT | I | ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | F | Control |
| SHIELDS, DAVID VINCENT | I | ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | F | Control |
| SHIELDS, DAVID VINCENT | I | ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | F | Control |
| SHIELDS, DAVID VINCENT | I | ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | F | Control |
| SHIELDS, DAVID VINCENT | I | ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | F | Control |
| SHIELDS, DAVID VINCENT | I | ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | F | Control |
| SHIELDS, MAURY | I | ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | F | Control |
| SHIELDS, MAURY | I | ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | F | Control |
| SHIELDS, MAURY | I | ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | F | Control |
| SHIELDS, MAURY | I | ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | F | Control |
| SHIELDS, MAURY | I | ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | F | Control |
| SHIELDS, MAURY | I | ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | F | Control |
| SHIELDS, MAURY | I | ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | F | Control |
| SHIELDS, MAURY | I | ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | F | Control |
| SHIELDS, MAURY | I | ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | F | Control |
| SHIELDS, MAURY | I | ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | F | Control |
| SHIELDS, MAURY | I | ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | F | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | D | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | D | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | D | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | D | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | D | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | D | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | D | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | D | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | D | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | D | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | D | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | D | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | D | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | D | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | D | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | D | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | D | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | D | Control |
| SHIELDS, JOSEPH VINCENT JR | I | SHIELDS & CO. | D | Control |
| SHIELDS, JOSEPH VINCENT JR | I | SHIELDS & CO. | D | Control |
| SHIELDS, JOSEPH VINCENT JR | I | SHIELDS & CO. | D | Control |
| SHIELDS, JOSEPH VINCENT JR | I | SHIELDS & CO. | D | Control |
| SHIELDS, JOSEPH VINCENT JR | I | SHIELDS & CO. | D | Control |
| SHIELDS, JOSEPH VINCENT JR | I | SHIELDS & CO. | D | Control |
| SHIELDS, JOSEPH VINCENT JR | I | SHIELDS & CO. | D | Control |
| SHIELDS, JOSEPH VINCENT JR | I | SHIELDS & CO. | D | Control |
| SHIELDS, JOSEPH VINCENT JR | I | SHIELDS & CO. | D | Control |
| SHIELDS, JOSEPH VINCENT JR | I | SHIELDS & CO. | D | Control |
| SHIELDS, JOSEPH VINCENT JR | I | SHIELDS & CO. | D | Control |
| SHIELDS, JOSEPH VINCENT JR | I | SHIELDS & CO. | D | Control |
| SHIELDS, JOSEPH VINCENT JR | I | SHIELDS & CO. | D | Control |
| SHIELDS, JOSEPH VINCENT JR | I | SHIELDS & CO. | D | Control |
| SHIELDS, JOSEPH VINCENT JR | I | SHIELDS & CO. | D | Control |
| ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | DE | SHIELDS & CO. | C | Control |
| ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | DE | SHIELDS & CO. | C | Control |
| ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | DE | SHIELDS & CO. | C | Control |
| ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | DE | SHIELDS & CO. | C | Control |
| ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | DE | SHIELDS & CO. | C | Control |
| ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | DE | SHIELDS & CO. | C | Control |
| ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | DE | SHIELDS & CO. | C | Control |
| ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | DE | SHIELDS & CO. | C | Control |
| ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | DE | SHIELDS & CO. | C | Control |
| ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | DE | SHIELDS & CO. | C | Control |
| ESTATE OF JOSEPH VINCENT SHIELDS JR., DECEASED | DE | SHIELDS & CO. | C | Control |
| GULDEN, PAUL IMMO JR | I | H,G. WELLINGTON & CO. | C | Control |
| GULDEN, PAUL IMMO JR | I | H,G. WELLINGTON & CO. | C | Control |
| GULDEN, PAUL IMMO JR | I | H,G. WELLINGTON & CO. | C | Control |
| GULDEN, PAUL IMMO JR | I | H,G. WELLINGTON & CO. | C | Control |
| GULDEN, PAUL IMMO JR | I | H,G. WELLINGTON & CO. | C | Control |
| GULDEN, PAUL IMMO JR | I | H,G. WELLINGTON & CO. | C | Control |
| GULDEN, PAUL IMMO JR | I | H,G. WELLINGTON & CO. | C | Control |
| GULDEN, PAUL IMMO JR | I | H,G. WELLINGTON & CO. | C | Control |
| GULDEN, PAUL IMMO JR | I | H,G. WELLINGTON & CO. | C | Control |
| GULDEN, PAUL IMMO JR | I | H,G. WELLINGTON & CO. | C | Control |
| GULDEN, PAUL IMMO JR | I | H,G. WELLINGTON & CO. | C | Control |
| GULDEN, PAUL IMMO JR | I | H,G. WELLINGTON & CO. | C | Control |
| GULDEN, PAUL IMMO JR | I | H,G. WELLINGTON & CO. | C | Control |
| GULDEN, PAUL IMMO JR | I | H,G. WELLINGTON & CO. | C | Control |
| GULDEN, PAUL IMMO JR | I | H,G. WELLINGTON & CO. | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| H.G. WELLINGTON & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| HOTTINGER CAPITAL CORP. | DE | H.G. WELLINGTON & CO. | C | |
| HOTTINGER CAPITAL CORP. | DE | H.G. WELLINGTON & CO. | C | |
| HOTTINGER CAPITAL CORP. | DE | H.G. WELLINGTON & CO. | C | |
| HOTTINGER CAPITAL CORP. | DE | H.G. WELLINGTON & CO. | C | |
| HOTTINGER CAPITAL CORP. | DE | H.G. WELLINGTON & CO. | C | |
| HOTTINGER CAPITAL CORP. | DE | H.G. WELLINGTON & CO. | C | |
| HOTTINGER CAPITAL CORP. | DE | H.G. WELLINGTON & CO. | C | |
| HOTTINGER CAPITAL CORP. | DE | H.G. WELLINGTON & CO. | C | |
| HOTTINGER CAPITAL CORP. | DE | H.G. WELLINGTON & CO. | C | |
| HOTTINGER CAPITAL CORP. | DE | H.G. WELLINGTON & CO. | C | |
| HOTTINGER CAPITAL CORP. | DE | H.G. WELLINGTON & CO. | C | |
| HOTTINGER CAPITAL CORP. | DE | H.G. WELLINGTON & CO. | C | |
| HOTTINGER CAPITAL CORP. | DE | H.G. WELLINGTON & CO. | C | |
| HOTTINGER CAPITAL CORP. | DE | H.G. WELLINGTON & CO. | C | |
| HOTTINGER CAPITAL CORP. | DE | H.G. WELLINGTON & CO. | C | |
| LAGEMANN, PETER JAY | I | H.G.WELLINGTON & CO. | C | Control |
| LAGEMANN, PETER JAY | I | H.G.WELLINGTON & CO. | C | Control |
| LAGEMANN, PETER JAY | I | H.G.WELLINGTON & CO. | C | Control |
| LAGEMANN, PETER JAY | I | H.G.WELLINGTON & CO. | C | Control |
| LAGEMANN, PETER JAY | I | H.G.WELLINGTON & CO. | C | Control |
| LAGEMANN, PETER JAY | I | H.G.WELLINGTON & CO. | C | Control |
| LAGEMANN, PETER JAY | I | H.G.WELLINGTON & CO. | C | Control |
| LAGEMANN, PETER JAY | I | H.G.WELLINGTON & CO. | C | Control |
| LAGEMANN, PETER JAY | I | H.G.WELLINGTON & CO. | C | Control |
| LAGEMANN, PETER JAY | I | H.G.WELLINGTON & CO. | C | Control |
| LAGEMANN, PETER JAY | I | H.G.WELLINGTON & CO. | C | Control |
| LAGEMANN, PETER JAY | I | H.G.WELLINGTON & CO. | C | Control |
| LAGEMANN, PETER JAY | I | H.G.WELLINGTON & CO. | C | Control |
| LAGEMANN, PETER JAY | I | H.G.WELLINGTON & CO. | C | Control |
| LAGEMANN, PETER JAY | I | H.G.WELLINGTON & CO. | C | Control |
| MCFADDEN, WILLIAM JAMESON | I | SHIELDS & COMPANY | C | Control |
| MCFADDEN, WILLIAM JAMESON | I | SHIELDS & COMPANY | C | Control |
| MCFADDEN, WILLIAM JAMESON | I | SHIELDS & COMPANY | C | Control |
| SHADEK, LAURENCE ARTHUR | I | H.G. WELLINGTON & CO. | C | Control |
| SHADEK, LAURENCE ARTHUR | I | H.G. WELLINGTON & CO. | C | Control |
| SHADEK, LAURENCE ARTHUR | I | H.G. WELLINGTON & CO. | C | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| SHIELDS & CO. | DE | WELLINGTON SHIELDS HOLDINGS, LLC | C | Control |
| SHIELDS, DAVID LARUS | I | SHIELDS & COMPANY | C | Control |
| SHIELDS, DAVID LARUS | I | SHIELDS & COMPANY | C | Control |
| SHIELDS, DAVID LARUS | I | SHIELDS & COMPANY | C | Control |
| SHIELDS, DAVID VINCENT | I | SHIELDS & CO. | C | Control |
| SHIELDS, DAVID VINCENT | I | SHIELDS & CO. | C | Control |
| SHIELDS, DAVID VINCENT | I | SHIELDS & CO. | C | Control |
| SHIELDS, DAVID VINCENT | I | SHIELDS & CO. | C | Control |
| SHIELDS, DAVID VINCENT | I | SHIELDS & CO. | C | Control |
| SHIELDS, DAVID VINCENT | I | SHIELDS & CO. | C | Control |
| SHIELDS, DAVID VINCENT | I | SHIELDS & CO. | C | Control |
| SHIELDS, DAVID VINCENT | I | SHIELDS & CO. | C | Control |
| SHIELDS, DAVID VINCENT | I | SHIELDS & CO. | C | Control |
| SHIELDS, DAVID VINCENT | I | SHIELDS & CO. | C | Control |
| SHIELDS, DAVID VINCENT | I | SHIELDS & CO. | C | Control |
| SHIELDS, DAVID VINCENT | I | SHIELDS & CO. | C | Control |
| SHIELDS, DAVID VINCENT | I | SHIELDS & CO. | C | Control |
| SHIELDS, DAVID VINCENT | I | SHIELDS & CO. | C | Control |
| SHIELDS, DAVID VINCENT | I | SHIELDS & CO. | C | Control |
| SHIELDS, DAVID VINCENT | I | SHIELDS & COMPANY | C | Control |
| SHIELDS, DAVID VINCENT | I | SHIELDS & COMPANY | C | Control |
| SHIELDS, DAVID VINCENT | I | SHIELDS & COMPANY | C | Control |
| SHIELDS, JOSEPH VINCENT JR | I | SHIELDS & CO. | C | Control |
| SHIELDS, JOSEPH VINCENT JR | I | SHIELDS & CO. | C | Control |
Registrations
Federal
IA
Mar 24, 2025 REGISTERED
Notice Filings (16)
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Address
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Phone: 212-320-2000