Henry F. Albert
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.
Henry Francis Albert was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1972. Henry had worked at 18 firms and has passed the Series 63, SIE, Series 55, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2011 - October 2, 2014
WELLINGTON SHIELDS & CO., LLC
July 10, 2007 - March 4, 2011
MIDWOOD SECURITIES, INC.
January 17, 2006 - June 28, 2007
TP ICAP GLOBAL MARKETS AMERICAS LLC
January 19, 2001 - January 13, 2006
TRADITION SECURITIES AND DERIVATIVES LLC
June 15, 1998 - September 29, 1999
VIII CAPITAL CORP.
August 13, 1996 - June 17, 1998
RESEARCH CAPITAL USA INC.
January 1, 1996 - March 28, 1996
BARCLAYS CAPITAL INC.
August 17, 1993 - January 1, 1996
BARCLAYS DE ZOETE WEDD INCORPORATED
May 23, 1990 - July 6, 1993
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
April 17, 1989 - March 29, 1990
PHOENIX CAPITAL MARKETS, INC.
September 2, 1987 - September 7, 1988
PERSHING LLC
October 12, 1981 - October 20, 1986
RBC CAPITAL MARKETS CORPORATION
September 20, 1979 - May 1, 1981
A. E. AMES & CO., INCORPORATED
May 7, 1976 - October 21, 1979
BURNS FRY INC
November 18, 1975 - May 7, 1976
BURNS BROS. AND TIMMINS INC.
November 21, 1974 - November 3, 1975
TOWER SQUARE SECURITIES, INC.
December 26, 1973 - June 13, 1974
PHILO SMITH & CO., INC.
January 26, 1972 - September 1, 1972
W.H. MORTON & CO., INCORPORATED
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 55
Date: 2/20/2001
Limited Representative-Equity Trader ExamSeries 1
Date: 1/24/1972
Registered Representative ExaminationCurrent 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.
