Roy D. Neal

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CRD#: 345420

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.

Roy Daniel Neal JR was a registered financial professional .

Roy is a previously registered financial professional and started their career in finance in 1969. Roy had worked at 11 firms and has passed the Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 20, 2009 - May 3, 2021

WELLINGTON SHIELDS & CO., LLC

CRD#: 149021

NEW YORK, NY

Past

May 16, 2001 - December 11, 2009

SHIELDS & COMPANY

CRD#: 11053

SARASOTA, FL

Past

November 15, 1988 - May 5, 2001

FIRST EQUITY CORPORATION OF FLORIDA

CRD#: 9

MIAMI, FL

Past

May 14, 1988 - December 12, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

Past

February 2, 1983 - May 14, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

June 25, 1979 - November 19, 1983

LEHMAN BROTHERS INC.

CRD#: 7506

Past

January 18, 1978 - June 25, 1979

LOEB PARTNERS

CRD#: 7534

Past

May 5, 1977 - January 18, 1978

HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED

CRD#: 7394

Past

February 7, 1974 - May 5, 1977

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

CRD#: 412

Past

July 2, 1973 - June 27, 1974

DUPONT WALSTON, INCORPORATED

CRD#: 870

Past

January 19, 1973 - November 15, 1973

DUPONT GLORE FORGAN INC

CRD#: 1000003

Past

June 8, 1972 - February 15, 1973

SHEARSON, HAMMILL & CO., INCORPORATED

CRD#: 766

Past

August 14, 1969 - March 5, 1972

DUPONT WALSTON, INCORPORATED

CRD#: 870

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".

WELLINGTON SHIELDS & CO., LLC

CRD#: 149021 / SEC#: 801-70755, 8-68098

RIA

Registered Investment Advisory firm - SEC (3/9/2010 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

State Security Law Exam

Series 63

Date: 5/16/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

Current Firm

WELLINGTON SHIELDS & CO., LLC

CRD#: 149021 / SEC#: 801-70755, 8-68098

RIA

Registered Investment Advisory firm - SEC (3/9/2010 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

PREMIUM

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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

SEC notice filing (16 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM (3/24/2025)

PART 2A OF FORM ADV: FIRM BROCHURE (3/24/2025)

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	Cover Page	Report
08/29/2024	Cover Page	Report
11/22/2023	Cover Page	Report
01/27/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Roy D. Neal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLINGTON SHIELDS & CO., LLC

SHIELDS & COMPANY

FIRST EQUITY CORPORATION OF FLORIDA

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

LEHMAN BROTHERS INC.

LOEB PARTNERS

HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

DUPONT WALSTON, INCORPORATED

DUPONT GLORE FORGAN INC

SHEARSON, HAMMILL & CO., INCORPORATED

DUPONT WALSTON, INCORPORATED

Primary Firm SEC Registration

WELLINGTON SHIELDS & CO., LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/16/2009

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Current Firm

WELLINGTON SHIELDS & CO., LLC

Contact information

SEC notice filing (16 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

WELLINGTON SHIELDS & CO., LLC

TRUST BUT VERIFY

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