Alan S. Braunshweiger
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.
Alan Stephen Braunshweiger was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1970. Alan had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, Series 99TO, SIE, Series 16, PC, Series 1, Series 9, Series 10, Series 24, Series 8 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2010 - September 12, 2024
WELLINGTON SHIELDS & CO., LLC
November 6, 2009 - September 12, 2024
WELLINGTON SHIELDS & CO., LLC
October 10, 2003 - December 31, 2010
H. G. WELLINGTON & CO., INC.
August 29, 2003 - August 29, 2003
H. G. WELLINGTON & CO., INC.
August 29, 2003 - December 9, 2009
H. G. WELLINGTON & CO., INC.
February 14, 2003 - September 5, 2003
BRILL SECURITIES, INC.
January 25, 2002 - September 5, 2003
BRILL SECURITIES, INC.
December 6, 1989 - February 20, 2002
HAPOALIM SECURITIES USA, INC.
April 12, 1988 - November 30, 1989
OPPENHEIMER & CO. INC.
April 1, 1988 - April 12, 1988
FAHNESTOCK INTERNATIONAL INC.
February 29, 1972 - April 1, 1988
OPPENHEIMER & CO. INC.
February 28, 1972 - November 30, 1989
OPPENHEIMER & CO. INC.
February 3, 1970 - March 22, 1972
HEINE & CO
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 4/1/1959
Registered Representative ExaminationSeries 8
Date: 8/11/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 5/17/1973
Registered Principal 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.
