Theodore Knoop
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.
Theodore Knoop, who also goes by Ted Knoop, Theodore Louis Knoop, was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1999. Theodore had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2012 - March 5, 2014
WELLINGTON SHIELDS & CO., LLC
July 2, 2012 - November 30, 2012
SURYA CAPITALE SECURITIES LLC
January 19, 2010 - December 2, 2011
JOHN THOMAS FINANCIAL
September 7, 2007 - January 20, 2010
CAPITAL ONE INVESTMENT SERVICES LLC
August 22, 2007 - January 20, 2010
CAPITAL ONE FINANCIAL ADVISORS LLC
November 14, 2006 - January 16, 2007
S.W. BACH & COMPANY
February 24, 2004 - January 16, 2007
S.W. BACH & COMPANY
January 5, 2004 - February 20, 2004
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
October 16, 2002 - December 16, 2002
TD AMERITRADE CLEARING, INC.
June 30, 2001 - October 30, 2002
DATEK ONLINE FINANCIAL SERVICES LLC
January 5, 2000 - June 30, 2001
ICAPITAL MARKETS LLC
February 18, 1999 - November 18, 1999
RICHMARK CAPITAL CORPORATION
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
Current 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.
