Charles R. Thompson
Professional summary
Charles Richard Thompson is a registered financial advisor currently at WELLINGTON SHIELDS & CO., LLC located in Dorset, Vermont and WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC located in Dorset, Vermont.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1969. Charles has worked at 6 firms and has passed the Series 65, Series 63, SIE, PC, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Charles Richard Thompson's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 11, 2010 - Present
WELLINGTON SHIELDS & CO., LLC
April 13, 2012 - Present
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
November 16, 2009 - Present
WELLINGTON SHIELDS & CO., LLC
March 10, 2006 - December 31, 2015
COBALT ASSET MANAGEMENT, LP
August 28, 2002 - December 31, 2010
H. G. WELLINGTON & CO., INC.
August 17, 1995 - December 9, 2009
H. G. WELLINGTON & CO., INC.
July 25, 1990 - August 21, 1992
BOMAR SECURITIES, L.P.
December 2, 1969 - July 8, 1988
TUCKER ANTHONY INCORPORATED
Primary Firm SEC Registration
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
CRD#: 150529 / SEC#: 801-70712
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/17/2009)
(11/17/2009)
(11/16/2009)
(3/11/2010)
(3/17/2010)
(11/29/2011)
(6/24/2016)
(12/17/2009)
(11/25/2009)
(7/20/2010)
Exams
PC
Date: 8/29/1977
AMEX Put and Call ExamSeries 1
Date: 1/6/1961
Registered Representative ExaminationSeries 40
Date: 11/21/1969
Registered Principal ExaminationFINRA
NYSE American LLC
New York Stock Exchange
Current Firm
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
CRD#: 150529 / SEC#: 801-70712
Contact information
SEC notice filing (21 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 527 |
| AUM (Assets Under Management) | $ 999,720,457 |
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
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