Howard David Brous
Professional Summary
Howard David Brous is a registered financial advisor currently at WELLINGTON SHIELDS & CO., LLC located in Locust Valley, New York. Howard is registered as a RR (Registered Representative) and started their career in finance in 1968. Howard has worked at 15 firms and has passed the Series 63, Series 72, Series 7TO, Series 52TO, Series 79TO, Series 99TO, SIE, Series 5, PC, Series 1, Series 10, Series 9, Series 14, Series 27, Series 12...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
58 years in the financial services industry
Current & Past Employments
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Current Firm
WELLINGTON SHIELDS & CO., LLC
Contact Information
Main Address
60 Broad Street 39th Floor, New York, NY 10004Mailing Address
60 Broad Street 39th Floor, New York, NY 10004Phone Number
(212) 320-3000Established
New York since 08/29/2008Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
25SEC notice filing (16 States and Territories)
Registered to provide investment advisory services in 16 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 16 US states and territories.
Documents
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
593AUM (Assets Under Management)
$545,964,414Disclosures
Regulatory Event
4Arbitration
1Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/09/2026 | Cover Page | Report |
| 09/29/2025 | Cover Page | Report |
| 08/29/2024 | Cover Page | Report |
| 11/22/2023 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
WELLINGTON SHIELDS & CO., LLC
State Registrations and Notice Filings
(10/1/2018)
(10/27/2022)
(11/15/2018)
(11/27/2018)
(10/1/2018)
(10/23/2018)
(10/1/2018)
(12/11/2018)
(10/31/2018)
(5/23/2025)
(11/20/2018)
(10/1/2018)
(12/10/2018)
(10/31/2018)
(11/29/2018)
(11/8/2018)
(11/19/2018)
(1/4/2019)
(10/1/2018)
(1/15/2019)
(6/28/2024)
(11/27/2018)
(10/22/2018)
(11/1/2018)
(10/31/2018)
(11/19/2018)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 72 — Government Securities Representative Examination
Passed Jan 2023Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 5 — Interest Rate Options Examination
Passed Sep 1981PC — AMEX Put and Call Exam
Passed Apr 1977Series 1 — Registered Representative Examination
Passed Aug 1968Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Dec 2002About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed May 2002About the Series 9 examSeries 12 — NYSE Branch Manager Examination
Passed Jul 1979Series 40 — Registered Principal Examination
Passed Dec 1977SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Howard David Brous's CRS (Customer Relationship Summary).
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