John P. Kelly
Professional summary
John Peter Kelly, who also goes by John Kelly, is a registered financial advisor currently at WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC located in Locust Valley, New York and WELLINGTON SHIELDS & CO., LLC located in Locust Valley, New York.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. John has worked at 6 firms and has passed the Series 63, Series 52TO, Series 79TO, Series 99TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Peter Kelly's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 30, 2021 - Present
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
Office #1: 63 Forrest Avenue, Locust Valley, NY 11560November 19, 2009 - Present
WELLINGTON SHIELDS & CO., LLC
Office #1: 63 Forest Avenue, Locust Valley, NY 11560March 21, 1990 - December 11, 2009
SHIELDS & COMPANY
September 27, 1988 - June 6, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 12, 1987 - January 20, 1988
SBC WARBURG DILLON READ INC.
September 24, 1986 - August 17, 1987
J.P. MORGAN SECURITIES LLC
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
(12/10/2009)
(11/19/2009)
(11/25/2009)
(5/27/2016)
(12/10/2009)
(11/19/2009)
(11/24/2009)
(11/19/2009)
(8/30/2021)
(9/30/2020)
(12/18/2013)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional 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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Company Information
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
CRD#: 150529Locust Valley, NY 11560TRUST BUT VERIFY
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