GU
Guy M. Ule
WELLINGTON SHIELDS & CO.
CORNWALL BRIDGE, CT
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CRD#: 451403
GU
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 27, Series 24 and Series 00 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Guy Maxwell Ule Jr | Max Ule
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 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).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 19, 2022 - Present
WELLINGTON SHIELDS & CO., LLC
Office #2: 60 Broad Street 39th Floor, New York, NY, 10004Office #3: 60 Broad St. 39th Floor, New York, NY 10004RIA
BD
CRD#: 149021
CORNWALL BRIDGE, CT
Current
November 30, 2009 - Present
WELLINGTON SHIELDS & CO., LLC
Office #1: 60 Broad Street 39th Floor, New York, NY 10004Office #2: 60 Broad Street 39th Floor, New York, NY, 10004RIA
BD
CRD#: 149021
NEW YORK, NY
Past
November 30, 2000 - December 11, 2009
SHIELDS & COMPANY
BD
CRD#: 11053
NEW YORK, NY
Past
July 18, 1989 - January 1, 2001
HERZOG, HEINE, GEDULD, LLC
BD
CRD#: 2186
NEW YORK, NY
Past
November 10, 1987 - July 13, 1989
MEYERS POLLOCK ROBBINS, INC.
BD
CRD#: 13436
NEW YORK, NY
Past
August 13, 1985 - January 12, 1988
INGHAM, BECKER & CO., INC.
BD
CRD#: 13472
Past
January 24, 1978 - February 19, 1985
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
Past
November 10, 1972 - February 3, 1978
DALEY & COMPANY
BD
CRD#: 6282
Past
March 1, 1972 - October 10, 1972
SOURCE SECURITIES CORPORATION
BD
CRD#: 5373
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 & CO., LLC
WELLINGTON SHIELDS & CO., LLC
CRD#: 149021 / SEC#: 801-70755, 8-68098
RIA
Registered Investment Advisory firm - SEC (3/9/2010 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
Arizona(11/30/2009)
RR
California(11/30/2009)
RR
Colorado(11/30/2009)
RR
Connecticut(11/30/2009)
IAR
Connecticut(6/3/2025)
RR
Florida(11/30/2009)
RR
Georgia(11/30/2009)
RR
Illinois(11/30/2009)
RR
Maryland(11/30/2009)
RR
Massachusetts(11/30/2009)
RR
Michigan(11/30/2009)
RR
Minnesota(1/26/2024)
RR
Montana(11/30/2009)
RR
Nevada(11/30/2009)
RR
New Jersey(11/30/2009)
RR
New York(11/30/2009)
IAR
New York(1/19/2022)
RR
Ohio(12/4/2009)
RR
Oklahoma(11/30/2009)
RR
Pennsylvania(11/30/2009)
RR
Rhode Island(11/30/2009)
RR
South Carolina(11/30/2009)
RR
Texas(11/30/2009)
RR
Vermont(11/30/2009)
RR
Virginia(11/30/2009)
RR
Wyoming(11/30/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 2/24/1972
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 00
Date: 11/20/1972
General Securities Principal ExaminationSRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange
Current Firm
WS
WELLINGTON SHIELDS & CO., LLC
WELLINGTON SHIELDS & CO., LLC
CRD#: 149021 / SEC#: 801-70755, 8-68098
RIA
Registered Investment Advisory firm - SEC (3/9/2010 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
60 Broad Street 39th Floor, New York, NY 10004
Mailing Address
60 Broad Street 39th Floor, New York, NY 10004
Phone number
(212) 320-3000
Established
New York since 08/29/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
25
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.
