Stephen D. Garrow
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephen David Garrow was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1985. Stephen had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2011 - December 31, 2020
WELLINGTON SHIELDS & CO., LLC
November 2, 2009 - March 4, 2011
MIDWOOD SECURITIES, INC.
June 29, 2009 - December 29, 2009
GAVEKAL SECURITIES LLC
June 10, 2005 - November 22, 2006
MIDWOOD SECURITIES, INC.
August 5, 2003 - May 12, 2008
GAVEKAL SECURITIES LLC
September 11, 1995 - December 13, 2005
FANO SECURITIES LLC
February 8, 1995 - August 1, 1996
FIRST OPTIONS OF CHICAGO, INC.
February 21, 1985 - January 24, 1995
ITG EXECUTION SERVICES, INC.
Primary Firm SEC Registration
WELLINGTON SHIELDS & CO., LLC
CRD#: 149021 / SEC#: 801-70755, 8-68098
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 10/5/2022
General Securities Representative ExaminationSeries 57TO
Date: 10/5/2022
Securities Trader ExamSeries 55
Date: 8/18/1999
Limited Representative-Equity Trader ExamCurrent Firm
WELLINGTON SHIELDS & CO., LLC
CRD#: 149021 / SEC#: 801-70755, 8-68098
Contact information
SEC notice filing (16 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLINGTON SHIELDS HOLDINGS, LLC | OWNER | |
| CEMBROLA, JOSEPH NICHOLAS | MEMBER OPERATIONS | 2310761 |
| CURCURU, PHILIP MICHAEL | CFO/COO | 4170350 |
| GRANT, THOMAS WATERS | MANAGING MEMBER | 227594 |
| GULDEN, PAUL IMMO JR | MANAGING MEMBER | 231863 |
| MARCH, EDWARD KENNETH | SVP, HEAD OF TRADING, MSRB PRINCIPAL, SROP/CROP | 2100535 |
| MCFADDEN, WILLIAM JAMESON | CEO | 5337971 |
| PORTAS, STEPHEN JOHN | PRESIDENT, CHIEF COMPLIANCE OFFICER | 2482930 |
| SHADEK, LAURENCE ARTHUR | MANAGING MEMBER/SECY | 419483 |
| SHIELDS, DAVID VINCENT | CHAIRMAN/MANAGING MEMBER | 1072810 |
| SPERRY, MARK PORTER | MEMBER | 1330909 |
Regulatory assets under management
| Total Number of Accounts | 524 |
| AUM (Assets Under Management) | $ 470,890,341 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
