Our Staff has compiled our research into a database of FINRA Broker Disclosures for Wellington Shields & Co., LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Theodore Allan Nelson | 2518913 | 1 | 01/23/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles Richard Thompson | 445603 | 1 | 06/16/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |