Eileen F. Connolly
Professional summary
Eileen Frances Connolly, who also goes by Eileen Frances Mahon, is a registered financial advisor currently at WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC located in New York, New York and WELLINGTON SHIELDS & CO., LLC located in New York, New York.
Eileen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Eileen has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Eileen Frances Connolly's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 2, 2020 - Present
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
Office #1: 60 Broad St. 39th Floor, New York, NY 10004November 19, 2009 - Present
WELLINGTON SHIELDS & CO., LLC
Office #1: 60 Broad Street 39th Floor, New York, NY 10004Office #2: 60 Broad Street 39th Floor, New York, NY, 10004October 30, 2001 - December 11, 2009
SHIELDS & COMPANY
July 9, 1999 - October 11, 2001
DOMINICK & DICKERMAN LLC
July 1, 1998 - July 15, 1999
COWEN AND COMPANY
April 30, 1998 - July 1, 1998
FINANCIAL SQUARE PARTNERS
Primary Firm SEC Registration
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
CRD#: 150529 / SEC#: 801-70712
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/23/2009)
(11/19/2009)
(11/19/2009)
(11/19/2009)
(1/23/2023)
(11/25/2009)
(5/22/2020)
(9/29/2022)
(6/25/2021)
(8/26/2024)
(12/13/2023)
(11/19/2009)
(11/24/2009)
(2/4/2025)
(12/10/2009)
(11/24/2009)
(3/2/2020)
(6/23/2020)
(11/19/2009)
(7/26/2021)
(11/20/2009)
(1/8/2014)
(6/4/2020)
(11/19/2009)
(9/12/2022)
(1/8/2014)
(10/30/2020)
(8/28/2020)
(11/19/2009)
(11/19/2009)
Exams
FINRA
NYSE American LLC
New York Stock Exchange
Current Firm
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
CRD#: 150529 / SEC#: 801-70712
Contact information
SEC notice filing (21 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 527 |
| AUM (Assets Under Management) | $ 999,720,457 |
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
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