Mark P. Sperry
Professional summary
Mark Porter Sperry is a registered financial advisor currently at WELLINGTON SHIELDS & CO., LLC located in Chatham, Massachusetts and WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC located in New York, New York.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Mark has worked at 4 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mark Porter Sperry's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 10, 2010 - Present
WELLINGTON SHIELDS & CO., LLC
January 5, 2016 - Present
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
Office #1: 60 Broad St. 39th Floor, New York, NY 10004October 21, 2009 - Present
WELLINGTON SHIELDS & CO., LLC
Office #1: 60 Broad Street 39th Floor, New York, NY, 10004November 7, 2007 - December 31, 2010
H. G. WELLINGTON & CO., INC.
March 3, 1986 - December 10, 2009
H. G. WELLINGTON & CO., INC.
April 4, 1985 - January 9, 1987
STILLMAN, MAYNARD & CO.
Primary Firm SEC Registration
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
CRD#: 150529 / SEC#: 801-70712
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/6/2009)
(11/6/2009)
(11/6/2009)
(11/25/2009)
(1/5/2016)
(7/7/2017)
(11/6/2009)
(11/20/2009)
(12/10/2009)
(3/26/2010)
(11/6/2009)
(11/6/2009)
(11/24/2009)
(10/22/2009)
(9/12/2021)
(3/27/2017)
(12/10/2009)
(11/30/2009)
(11/24/2009)
(12/9/2009)
(11/20/2015)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
NYSE American LLC
New York Stock Exchange
Current Firm
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
CRD#: 150529 / SEC#: 801-70712
Contact information
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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