Paul I. Gulden
Professional summary
Paul Immo Gulden JR 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.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Paul has worked at 4 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Paul Immo Gulden JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 23, 2021 - 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 10004Office #2: 60 Broad Street 39th Floor, New York, NY, 10004January 1, 1978 - December 10, 2009
H. G. WELLINGTON & CO., INC.
June 9, 1970 - January 23, 1978
MCMULLEN & HARD
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
(12/9/2009)
(11/6/2009)
(11/23/2009)
(11/25/2009)
(9/11/2015)
(11/6/2009)
(11/20/2009)
(12/10/2009)
(12/2/2009)
(11/24/2009)
(10/22/2009)
(8/23/2021)
(7/31/2019)
(12/10/2009)
(11/6/2009)
(11/28/2011)
(11/23/2009)
(11/28/2011)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 40
Date: 6/4/1970
Registered Principal 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
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