Raymond E. Moore
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.
Raymond Eugene Moore was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1968. Raymond had worked at 13 firms and has passed the Series 63, Series 86, Series 87, Series 16, Series 000, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2009 - September 7, 2012
WELLINGTON SHIELDS & CO., LLC
November 25, 2002 - December 11, 2009
SHIELDS & COMPANY
November 3, 1998 - September 6, 2002
WEATHERLY SECURITIES CORPORATION
March 11, 1992 - April 10, 1998
SBC WARBURG DILLON READ INC.
January 4, 1990 - March 12, 1992
CIBC WORLD MARKETS CORP.
May 14, 1988 - July 11, 1988
LEHMAN BROTHERS INC.
September 9, 1987 - November 15, 1989
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
December 21, 1981 - May 14, 1988
E. F. HUTTON & COMPANY INC
February 11, 1980 - October 13, 1981
S.G. WARBURG & CO. INC.
December 27, 1977 - December 15, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
June 29, 1972 - December 28, 1977
KUHN LOEB & CO. INCORPORATED
June 29, 1972 - January 2, 1979
KUHN, LOEB & CO. INTERNATIONAL
October 7, 1968 - June 10, 1972
SHIELDS MODEL ROLAND INCORPORATED
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 000
Date: 10/10/1966
General Securities Principal ExaminationSeries 1
Date: 10/10/1966
Registered Representative ExaminationSeries 00
Date: 4/24/1972
General Securities 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.
