HB
Howard D. Brous
WELLINGTON SHIELDS & CO.
Locust Valley, NY 11560
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CRD#: 31868
HB
Professional summary
Howard David Brous is a registered financial professional 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 and Series 40 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Howard David Brous's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 1, 2018 - Present
WELLINGTON SHIELDS & CO., LLC
Office #1: 63 Forest Avenue, Locust Valley, NY 11560RIA
BD
CRD#: 149021
Locust Valley, NY
Past
March 17, 2005 - October 2, 2018
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
GREAT NECK, NY
Past
July 11, 1988 - March 30, 2005
HD BROUS & CO., INC.
BD
CRD#: 22062
GREAT NECK, NY
Past
October 1, 1985 - July 16, 1988
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
Past
February 1, 1979 - October 1, 1985
JII SECURITIES INC.
BD
CRD#: 406
Past
May 3, 1978 - May 23, 1980
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
Past
October 7, 1977 - May 1, 1978
SECURITIES & ARBITRAGE COMPANY
BD
CRD#: 7481
Past
October 7, 1977 - November 16, 1978
WISE FRIEDMAN INCORPORATED
BD
CRD#: 7482
Past
January 14, 1977 - May 28, 1978
BOWLING GREEN SECURITIES, INC.
BD
CRD#: 3652
Past
May 14, 1975 - January 23, 1977
HALCYON SECURITIES, INC.
BD
CRD#: 2028
Past
November 22, 1974 - June 8, 1975
MOORE & SCHLEY, CAMERON & CO.
BD
CRD#: 6917
Past
July 8, 1974 - December 9, 1974
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
Past
April 23, 1974 - August 5, 1974
KUHNS BROTHERS & LAIDLAW, INC.
BD
CRD#: 1481
Past
October 31, 1972 - February 17, 1976
FAULKNER, DAWKINS & SULLIVAN INC.
BD
CRD#: 1790
Past
August 14, 1968 - October 29, 1972
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WS
WELLINGTON SHIELDS & CO., LLC
WELLINGTON SHIELDS & CO., LLC
CRD#: 149021 / SEC#: 801-70755, 8-68098
RIA
Registered Investment Advisory firm - SEC (3/9/2010 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(10/1/2018)
RR
Arkansas(10/27/2022)
RR
California(11/15/2018)
RR
Connecticut(11/27/2018)
RR
District of Columbia(10/1/2018)
RR
Florida(10/23/2018)
RR
Georgia(10/1/2018)
RR
Illinois(12/11/2018)
RR
Indiana(10/31/2018)
RR
Iowa(5/23/2025)
RR
Kentucky(11/20/2018)
RR
Maryland(10/1/2018)
RR
Massachusetts(12/10/2018)
RR
Minnesota(10/31/2018)
RR
Montana(11/29/2018)
RR
Nevada(11/8/2018)
RR
New Hampshire(11/19/2018)
RR
New Jersey(1/4/2019)
RR
New York(10/1/2018)
RR
North Carolina(1/15/2019)
RR
Ohio(6/28/2024)
RR
Pennsylvania(11/27/2018)
RR
Texas(10/22/2018)
RR
Virginia(11/1/2018)
RR
Washington(10/31/2018)
RR
Wisconsin(11/19/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 9/25/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 4/19/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 8/12/1968
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 12
Date: 7/16/1979
NYSE Branch Manager ExaminationPrincipal/Supervisory Exam
RR
Series 40
Date: 12/29/1977
Registered Principal ExaminationSRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange
Current Firm
WS
WELLINGTON SHIELDS & CO., LLC
WELLINGTON SHIELDS & CO., LLC
CRD#: 149021 / SEC#: 801-70755, 8-68098
RIA
Registered Investment Advisory firm - SEC (3/9/2010 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
60 Broad Street 39th Floor, New York, NY 10004
Mailing Address
60 Broad Street 39th Floor, New York, NY 10004
Phone number
(212) 320-3000
Established
New York since 08/29/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
25
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.
