DG
Deborah B. Gaskins
WELLINGTON SHIELDS & CO.
Thomasville, GA 31792
Some features on this profile are disabled
CRD#: 1402260
DG
Professional summary
Deborah Beaufait Gaskins, who also goes by Deborah Beaufait Coonce, Deborah Beaufart Coonce, is a registered financial advisor currently at WELLINGTON SHIELDS & CO., LLC located in Thomasville, Georgia.
Deborah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Deborah has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Deborah Beaufait Coonce | Deborah Beaufart Coonce
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.
WELLINGTON SHIELDS CAPITAL MANAGEMENT 140 BROADWAY, NEW YORK NY 10005 INVESTMENT RELATED NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISOR TITLE: ADMINISTRATION RESPONSIBILITIES: CLIENT SERVICING
CRS (Client Relationship Summary) - RIA
Click below to view Deborah Beaufait Gaskins's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Deborah Beaufait Gaskins'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
March 9, 2010 - Present
WELLINGTON SHIELDS & CO., LLC
Office #1: 140 North Broad Street, Thomasville, GA 31792RIA
BD
CRD#: 149021
Thomasville, GA
Current
November 18, 2009 - Present
WELLINGTON SHIELDS & CO., LLC
Office #1: 140 North Broad Street, Thomasville, GA 31792RIA
BD
CRD#: 149021
Thomasville, GA
Past
December 23, 2009 - February 7, 2011
SHIELDS & COMPANY
RIA
CRD#: 11053
THOMASVILLE, GA
Past
May 6, 2005 - December 11, 2009
SHIELDS & COMPANY
RIA
CRD#: 11053
THOMASVILLE, GA
Past
February 2, 2001 - December 11, 2009
SHIELDS & COMPANY
BD
CRD#: 11053
THOMASVILLE, GA
Past
May 9, 2000 - January 18, 2001
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
ATLANTA, GA
Past
August 8, 1994 - May 3, 2000
SHIELDS & COMPANY
BD
CRD#: 11053
NEW YORK, NY
Past
March 4, 1994 - August 15, 1994
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
Past
September 20, 1988 - June 8, 1992
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
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 & CO., LLC
WELLINGTON SHIELDS & CO., LLC
CRD#: 149021 / SEC#: 801-70755, 8-68098
RIA
Registered Investment Advisory firm - SEC (3/9/2010 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
Alabama(3/27/2015)
RR
Arizona(9/22/2023)
RR
Arkansas(12/22/2020)
RR
California(11/18/2009)
RR
Colorado(6/25/2013)
RR
Connecticut(12/10/2009)
RR
District of Columbia(12/10/2009)
RR
Florida(11/25/2009)
RR
Georgia(11/18/2009)
IAR
Georgia(3/9/2010)
RR
Hawaii(10/7/2013)
RR
Idaho(11/19/2018)
RR
Illinois(2/24/2012)
RR
Indiana(3/27/2015)
RR
Louisiana(11/18/2009)
RR
Maine(3/7/2016)
RR
Maryland(4/25/2023)
RR
Massachusetts(11/18/2009)
RR
Michigan(11/24/2009)
RR
Minnesota(5/1/2018)
RR
Missouri(4/9/2015)
RR
Nevada(8/5/2013)
RR
New Hampshire(4/25/2018)
RR
New Jersey(12/10/2009)
RR
New York(12/10/2009)
RR
North Carolina(8/5/2013)
RR
North Dakota(3/27/2015)
RR
Ohio(12/11/2009)
RR
Oklahoma(11/18/2009)
RR
Pennsylvania(4/12/2012)
RR
Rhode Island(11/30/2009)
RR
South Carolina(11/18/2009)
RR
South Dakota(9/16/2022)
RR
Tennessee(11/2/2017)
RR
Texas(11/24/2009)
RR
Vermont(6/27/2017)
RR
Virginia(9/20/2012)
RR
Washington(8/27/2013)
RR
Wisconsin(6/23/2021)
RR
Wyoming(12/28/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/6/1991
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange
Current Firm
WS
WELLINGTON SHIELDS & CO., LLC
WELLINGTON SHIELDS & CO., LLC
CRD#: 149021 / SEC#: 801-70755, 8-68098
RIA
Registered Investment Advisory firm - SEC (3/9/2010 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
60 Broad Street 39th Floor, New York, NY 10004
Mailing Address
60 Broad Street 39th Floor, New York, NY 10004
Phone number
(212) 320-3000
Established
New York since 08/29/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
25
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.
