Guy Maxwell Ule
Professional Summary
Guy Maxwell Ule, who also goes by Guy Maxwell Ule Jr, Max Ule, is a registered financial advisor currently at WELLINGTON SHIELDS & CO., LLC located in Cornwall Bridge, Connecticut. Guy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1972. Guy has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, Series 7TO, SIE, Series 1, Series 4, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Guy Maxwell Ule Jr, Max Ule
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Years of Experience
54 years in the financial services industry
Current & Past Employments
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
WELLINGTON SHIELDS & CO., LLC
Contact Information
Main Address
60 Broad Street 39th Floor, New York, NY 10004Mailing Address
60 Broad Street 39th Floor, New York, NY 10004Phone Number
(212) 320-3000Established
New York since 08/29/2008Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
25SEC notice filing (16 States and Territories)
Registered to provide investment advisory services in 16 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 16 US states and territories.
Documents
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
593AUM (Assets Under Management)
$545,964,414Disclosures
Regulatory Event
4Arbitration
1Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/09/2026 | Cover Page | Report |
| 09/29/2025 | Cover Page | Report |
| 08/29/2024 | Cover Page | Report |
| 11/22/2023 | Cover Page | Report |
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Primary Firm SEC Registration
WELLINGTON SHIELDS & CO., LLC
State Registrations and Notice Filings
(11/30/2009)
(11/30/2009)
(11/30/2009)
(11/30/2009)
(6/3/2025)
(11/30/2009)
(11/30/2009)
(11/30/2009)
(11/30/2009)
(11/30/2009)
(11/30/2009)
(1/26/2024)
(11/30/2009)
(11/30/2009)
(11/30/2009)
(11/30/2009)
(1/19/2022)
(12/4/2009)
(11/30/2009)
(11/30/2009)
(11/30/2009)
(11/30/2009)
(11/30/2009)
(11/30/2009)
(11/30/2009)
(11/30/2009)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Feb 1972Series 00 — General Securities Principal Examination
Passed Nov 1972SRO Registrations
SRO Registrations
SRO Registrations
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Guy Maxwell Ule's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Guy Maxwell Ule's CRS (Customer Relationship Summary).
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
