Philip Lindenbaum
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.
Philip Lindenbaum was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1969. Philip had worked at 14 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 1, Series 24, Series 9, Series 10, Series 12 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
November 19, 2009 - February 25, 2021
WELLINGTON SHIELDS & CO., LLC
June 18, 1991 - December 11, 2009
SHIELDS & COMPANY
May 29, 1990 - May 22, 1991
JJC SECURITIES CO., INC.
September 2, 1986 - May 29, 1990
JSC SECURITIES, INC.
October 1, 1985 - August 27, 1986
GRUNTAL & CO., L.L.C.
August 14, 1981 - October 1, 1985
JII SECURITIES INC.
November 19, 1979 - August 20, 1981
JOHN MUIR & CO.
March 19, 1979 - December 2, 1979
MADISON & BURKE FINANCIAL
January 18, 1978 - July 22, 1980
LOEB PARTNERS
January 4, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
October 4, 1974 - May 6, 1977
LOEB, RHOADES & CO., INCORPORATED
February 7, 1974 - January 4, 1977
LOEB, RHOADES & CO. INC.
July 2, 1973 - September 5, 1975
DUPONT WALSTON, INCORPORATED
June 30, 1969 - March 20, 1974
DUPONT GLORE FORGAN 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 11/20/1962
Registered Representative ExaminationSeries 12
Date: 9/11/1981
NYSE Branch Manager ExaminationSeries 40
Date: 10/10/1974
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.
