Elliott L. Schlang
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.
Elliott Leo Schlang, who also goes by Elliott L Schlang, was a registered financial professional .
Elliott is a previously registered financial professional and started their career in finance in 1963. Elliott had worked at 10 firms and has passed the Series 63, SIE, Series 87, Series 16, 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
April 5, 2011 - December 31, 2019
WELLINGTON SHIELDS & CO., LLC
August 1, 2005 - April 5, 2011
SOLEIL SECURITIES CORPORATION
July 27, 2001 - August 2, 2005
INSTINET, LLC
January 20, 1997 - June 30, 2005
LYNCH, JONES & RYAN LLC
January 30, 1995 - October 17, 1996
TUCKER ANTHONY INCORPORATED
June 2, 1992 - January 10, 1995
KIDDER, PEABODY & CO. INCORPORATED
September 4, 1990 - May 22, 1992
WELLS FARGO CLEARING SERVICES, LLC
February 4, 1977 - August 14, 1978
PRESCOTT, BALL & TURBEN
March 3, 1963 - February 4, 1977
PRESCOTT, BALL & TURBEN
March 3, 1963 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
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 1
Date: 3/5/1963
Registered Representative ExaminationSeries 00
Date: 3/3/1966
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.
