DS
David V. Shields
WELLINGTON SHIELDS CAPITAL MANAGEMENT
NEW YORK, NY 10004
Some features on this profile are disabled
CRD#: 1072810
DS
Professional summary
David Vincent Shields is a registered financial advisor currently at WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC located in New York, New York and WELLINGTON SHIELDS & CO., LLC located in New York, New York.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1966. David has worked at 3 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 99TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
NAME OF BUSINESS: CAPITAL MANAGEMENT INVESTMENT TRUST INVESTMENT RELATED ADDRESS: 140 BROADWAY, NEW YORK, NY 10005 NATURE OF BUSINESS: REGISTERED OPEN-END INVESTMENT MANAGEMENT COMPANY POSITION: INTERESTED TRUSTEE START DATE: 1994 DUTIES: OVERSEES ACTIVIY OF THE FUND. COMPENSATED: NO ATTENDS QTRLY. BOARD MEETINGS NAME OF BUSINESS: WELLINGTON SHIELDS CAPITAL MANAGEMENT INVESTMENT RELATED ADDRESS: 140 BROADWAY, NEW YORK, NY 10005 NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISOR POSITION: MANAGING DIRECTOR START DATE: JULY 2010 TIME DEVOTED: DAILY DUTIES: OVERSEES ACTIVITIES OF THE FIRM. COMPENSATED: NO NAME OF BUSINESS: CAPITAL MANAGEMENT ASSOCIATES, INC. INVESTMENT RELATED ADDRESS: 140 BROADWAY, NEW YORK, NY 10005 NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISOR POSITION: DIRECTOR START DATE: 1982 TIME DEVOTED: DAILY DUTIES: OVERSEES ACTIVITIES OF THE FIRM. COMPENSATED: NO
CRS (Client Relationship Summary) - RIA
Click below to view David Vincent Shields's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 23, 2021 - Present
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
Office #1: 60 Broad St. 39th Floor, New York, NY 10004RIA
CRD#: 150529
NEW YORK, NY
Current
November 6, 2009 - Present
WELLINGTON SHIELDS & CO., LLC
Office #1: 60 Broad Street 39th Floor, New York, NY 10004Office #2: 60 Broad Street 39th Floor, New York, NY, 10004RIA
BD
CRD#: 149021
NEW YORK, NY
Past
July 28, 1966 - December 11, 2009
SHIELDS & COMPANY
BD
CRD#: 11053
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WS
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
CRD#: 150529 / SEC#: 801-70712
RIA
Registered Investment Advisory firm - (3/9/2010 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(11/10/2009)
RR
District of Columbia(12/4/2009)
RR
Florida(12/14/2009)
RR
Georgia(11/6/2009)
RR
Iowa(12/22/2009)
RR
Kentucky(9/23/2015)
RR
New York(12/1/2009)
IAR
New York(8/23/2021)
RR
Pennsylvania(7/11/2013)
RR
Texas(11/24/2009)
RR
Utah(11/23/2009)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange
Current Firm
WS
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
CRD#: 150529 / SEC#: 801-70712
RIA
Registered Investment Advisory firm - (3/9/2010 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
60 Broad St. 39th Floor, New York, NY 10004
Mailing Address
Phone number
(212) 320-3000
Established
Firm type
Fiscal year end
# of Employees
21
SEC notice filing (21 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 527 |
| AUM (Assets Under Management) | $ 999,720,457 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/29/2025 | ||
| 08/29/2024 | ||
| 11/22/2023 | ||
| 01/27/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
