AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
NJ

Neal F. Johnson

Some features on this profile are disabled
CRD#: 2781236
NJ

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.

Neal Frye Johnson JR was a registered financial professional .

Neal is a previously registered financial professional and started their career in finance in 1996. Neal had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 4, 2011 - June 19, 2015

WELLINGTON SHIELDS & CO., LLC

RIA
CRD#: 149021
THOMASVILLE, GA
Past

March 23, 2011 - June 19, 2015

WELLINGTON SHIELDS & CO., LLC

BD
CRD#: 149021
THOMASVILLE, GA
Past

July 1, 2004 - January 18, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

June 4, 2003 - May 26, 2004

JOSEPH PARKER & COMPANY INC

RIA
CRD#: 109830
THOMASVILLE, GA
Past

November 26, 1996 - July 24, 2000

THE ROBINSON-HUMPHREY COMPANY, LLC

BD
CRD#: 723
ATLANTA, GA

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/15/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/19/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/22/2011
General Securities Representative Examination

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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM (3/24/2025)
PART 2A OF FORM ADV: FIRM BROCHURE (3/24/2025)

Direct owners and executive officers

NamePositionCRD#
WELLINGTON SHIELDS HOLDINGS, LLCOWNER
CEMBROLA, JOSEPH NICHOLASMEMBER OPERATIONS2310761
CURCURU, PHILIP MICHAELCFO/COO4170350
GRANT, THOMAS WATERSMANAGING MEMBER227594
GULDEN, PAUL IMMO JRMANAGING MEMBER231863
MARCH, EDWARD KENNETHSVP, HEAD OF TRADING, MSRB PRINCIPAL, SROP/CROP2100535
MCFADDEN, WILLIAM JAMESONCEO5337971
PORTAS, STEPHEN JOHNPRESIDENT, CHIEF COMPLIANCE OFFICER2482930
SHADEK, LAURENCE ARTHURMANAGING MEMBER/SECY419483
SHIELDS, DAVID VINCENTCHAIRMAN/MANAGING MEMBER1072810
SPERRY, MARK PORTERMEMBER1330909

Regulatory assets under management

Total Number of Accounts524
AUM (Assets Under Management)$ 470,890,341

Disclosures

Regulatory Event4
Arbitration1

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/29/2025
Cover Page
Report
08/29/2024
Cover Page
Report
11/22/2023
Cover Page
Report
01/27/2023
Cover Page
Report

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.

Company Information

WELLINGTON SHIELDS & CO., LLC

CRD#: 149021

TRUST BUT VERIFY

Monitor Neal Johnson

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.