CT

Charles R. Thompson

WELLINGTON SHIELDS & CO.
Dorset, VT
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CRD#: 445603
CT

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


Are you a "fiduciary"?
Yes

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.

CRS (Client Relationship Summary) - RIA


Click below to view Charles Richard Thompson's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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


Current

March 11, 2010 - Present

WELLINGTON SHIELDS & CO., LLC

RIA
BD
CRD#: 149021
Dorset, VT
Current

April 13, 2012 - Present

WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC

RIA
CRD#: 150529
DORSET, VT
Current

November 16, 2009 - Present

WELLINGTON SHIELDS & CO., LLC

RIA
BD
CRD#: 149021
Dorset, VT
Past

March 10, 2006 - December 31, 2015

COBALT ASSET MANAGEMENT, LP

RIA
CRD#: 137117
NAPLES, FL
Past

August 28, 2002 - December 31, 2010

H. G. WELLINGTON & CO., INC.

RIA
CRD#: 7536
DORSET, VT
Past

August 17, 1995 - December 9, 2009

H. G. WELLINGTON & CO., INC.

BD
CRD#: 7536
DORSET, VT
Past

July 25, 1990 - August 21, 1992

BOMAR SECURITIES, L.P.

BD
CRD#: 24582
Past

December 2, 1969 - July 8, 1988

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA

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".
WS
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC

CRD#: 150529 / SEC#: 801-70712

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

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(11/17/2009)
RR
Colorado
(11/17/2009)
RR
Connecticut
(11/16/2009)
IAR
Florida
(3/11/2010)
RR
Florida
(3/17/2010)
RR
Nevada
(11/29/2011)
RR
New Hampshire
(6/24/2016)
RR
New York
(12/17/2009)
RR
Vermont
(11/25/2009)
IAR
Vermont
(7/20/2010)

Exams


State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 8/29/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 1/6/1961
Registered Representative Examination
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 11/21/1969
Registered Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm


WS
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC

CRD#: 150529 / SEC#: 801-70712

RIA
Registered Investment Advisory firm - (3/9/2010 Approved)
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Contact information


Main Address
60 Broad St. 39th Floor, New York, NY 10004
Mailing Address
Phone number
(212) 320-3000
Established
Firm type
Fiscal year end
# of Employees
21

SEC notice filing (21 States and Territories)


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Regulatory assets under management


Total Number of Accounts527
AUM (Assets Under Management)$ 999,720,457

Accountant surprise examination report


Filing DateForm ADV-E CoverForm ADV-E Report
09/29/2025
08/29/2024
11/22/2023
01/27/2023

Red Flags


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Company Information


WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC

CRD#: 150529Dorset, VT

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