NK
Noel Kezsbom
WELLINGTON SHIELDS & CO.
NEW YORK, NY 10004
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CRD#: 268896
NK
Professional summary
Noel Kezsbom is a registered financial advisor currently at WELLINGTON SHIELDS & CO., LLC located in New York, New York.
Noel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1969. Noel has worked at 10 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 000 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Noel Kezsbom's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Noel Kezsbom'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
October 19, 2018 - Present
WELLINGTON SHIELDS & CO., LLC
Office #1: 60 Broad St. 39th Floor, New York, NY 10004RIA
BD
CRD#: 149021
NEW YORK, NY
Current
October 19, 2018 - Present
WELLINGTON SHIELDS & CO., LLC
Office #1: 60 Broad Street 39th Floor, New York, NY 10004RIA
BD
CRD#: 149021
NEW YORK, NY
Past
June 19, 2007 - October 22, 2018
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
NEW YORK, NY
Past
February 28, 2003 - October 22, 2018
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
NEW YORK, NY
Past
March 9, 2002 - March 7, 2003
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
February 18, 1988 - March 9, 2002
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
November 3, 1980 - February 10, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
BD
CRD#: 501
Past
August 14, 1978 - December 1, 1980
PRESCOTT, BALL & TURBEN, INC.
BD
CRD#: 7656
Past
October 12, 1977 - August 14, 1978
PRESCOTT, BALL & TURBEN
BD
CRD#: 7342
Past
August 11, 1976 - October 2, 1977
MOORE & SCHLEY, CAMERON & CO.
BD
CRD#: 6917
Past
October 10, 1973 - September 20, 1974
MOORE & SCHLEY, CAMERON & CO.
BD
CRD#: 6917
Past
August 20, 1973 - September 6, 1976
HEINE, FISHBEIN & CO INC
BD
CRD#: 783
Past
July 23, 1969 - September 20, 1973
HEROLD KASTOR & GERALD INCORPORATED
BD
CRD#: 1000001
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
California(10/19/2018)
RR
Florida(10/19/2018)
RR
Maryland(10/19/2018)
RR
New Jersey(10/19/2018)
IAR
New Jersey(10/23/2018)
RR
New York(10/19/2018)
IAR
New York(7/11/2021)
RR
North Carolina(11/1/2018)
RR
Ohio(9/20/2019)
RR
Pennsylvania(10/19/2018)
IAR
Pennsylvania(10/19/2018)
RR
Virginia(10/19/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 10/5/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 000
Date: 7/16/1969
General Securities Principal ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 7/16/1969
Registered Representative ExaminationSRO 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.
