Thomas A. Hart
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.
Thomas Aloysius Hart, who also goes by Thomas A Hart, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1970. Thomas had worked at 12 firms and has passed the Series 63, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2009 - March 17, 2014
WELLINGTON SHIELDS & CO., LLC
October 23, 1995 - December 11, 2009
SHIELDS & COMPANY
October 11, 1994 - October 10, 1995
DOMINICK & DICKERMAN LLC
May 17, 1988 - October 19, 1994
RBC CAPITAL MARKETS CORPORATION
April 13, 1988 - August 9, 1988
OPPENHEIMER & CO. INC.
August 20, 1985 - April 13, 1988
FAHNESTOCK INTERNATIONAL INC.
June 24, 1985 - October 13, 1987
HARRIS NESBITT CORP.
October 1, 1982 - June 6, 1985
SELIGMAN SECURITIES, INC.
April 8, 1981 - October 25, 1982
LN SECURITIES, INC.
August 2, 1979 - April 30, 1981
RICHARDSON GREENSHIELDS SECURITIES INC.
August 8, 1978 - September 10, 1979
LOEB PARTNERS
July 3, 1975 - September 8, 1978
DREXEL BURNHAM LAMBERT INCORPORATED
July 15, 1970 - June 30, 1975
LN SECURITIES, INC.
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
PC
Date: 8/1/1978
AMEX Put and Call ExamSeries 000
Date: 3/11/1966
General Securities Principal ExaminationSeries 1
Date: 3/11/1966
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.
