Robert L. Sterling
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.
Robert Lee Sterling, who also goes by Bob Sterling, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1967. Robert had worked at 10 firms and has passed the PC, Series 000, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2010 - July 31, 2012
WELLINGTON SHIELDS & CO., LLC
November 16, 2009 - July 31, 2012
WELLINGTON SHIELDS & CO., LLC
November 24, 2008 - December 31, 2010
H. G. WELLINGTON & CO., INC.
November 21, 2008 - December 9, 2009
H. G. WELLINGTON & CO., INC.
September 30, 2002 - May 29, 2008
MELHADO, FLYNN & ASSOCIATES, INC.
May 21, 1993 - May 29, 2008
MELHADO, FLYNN & ASSOCIATES, INC.
June 15, 1990 - June 10, 1993
CHASE INVESTMENT SERVICES CORP.
May 4, 1983 - November 26, 1988
LEHMAN BROTHERS INC.
May 20, 1980 - April 22, 1983
PERSHING LLC
January 30, 1980 - September 5, 1984
FAM DISTRIBUTORS, INC.
September 26, 1978 - December 9, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 15, 1975 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
July 3, 1967 - January 15, 1975
WHITE, WELD & CO., 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
PC
Date: 9/7/1977
AMEX Put and Call ExamSeries 000
Date: 6/30/1967
General Securities Principal ExaminationSeries 1
Date: 6/30/1967
Registered Representative ExaminationSeries 40
Date: 10/19/1972
Registered 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.
