WM
William J. Mcfadden
WELLINGTON SHIELDS & CO.
NEW YORK, NY 10004
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CRD#: 5337971
WM
Professional summary
William Jameson Mcfadden is a registered financial advisor currently at WELLINGTON SHIELDS & CO., LLC located in New York, New York and WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC located in New York, New York.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. William has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 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.
CAPITAL MANAGEMENT ASSOCIATES, INC. 60 BROAD ST, 39th Fl, NEW YORK, NY 10004 INVESTMENT RELATED NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISOR AND INVESTMENT ADVISOR TO THE CMIT TITLE: PORTFOLIO MANAGEMENT RESPONSIBILITIES: SECURITY ANALYSIS TIME DEVOTED PER WEEK: 50 HOURS WELLINGTON SHIELDS CAPITAL MANAGEMENT 60 BROAD ST, 39th FL, NEW YORK, NY 10004 INVESTMENT RELATED NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISOR TITLE: MANAGING DIRECTOR AND INVESTMENT COMMITTEE MEMBER RESPONSIBILITIES: DAY TO DAY OPERATIONS OF FIRM, SECURITY ANALYSIS TIME DEVOTED PER WEEK: 40 CAPITAL MANAGEMENT INVESTMENT TRUST 60 BROAD ST 39TH FLOOR NEW YORK, NY 10004 INVESTMENT RELATED BUSINESS TRUST, RIC. ONE MUTUAL FUND OFFERING. POSITION: PRESIDENT AND CEO. AFFILIATE OF WELLINGTON SHIELDS. TIME DEVOTED PER WEEK: 5 HOURS START DATE: 2016 MCFADDEN FARM NOT INVESTMENT RELATED 16000 POWERHOUSE POTTER VALLEY, CA BUSINESS: VINEYARD, ORGANIC FOODS AND PLANTS POSITION: CONSULTANT. FARM IS OWNED BY FAMILY. NATURE OF BUSINESS IS CONSULTING WITH MANAGEMENT AND VENDORS. START DATE JUNE 2019. TIME DEVOTED APPROXIMATELY 8 HOURS PER MONTH. FLOWERS FOODS, INC. 1919 FLOWERS CIRCLE THOMASVILLE, GA 31757 NOT INVESTMENT RELATED BUSINESS: PACKAGED BAKERY PRODUCTS POSITION: DIRECTOR. NATURE OF BUSINESS IS CONSULTING ON MARKETING AND FINANCIAL ISSUES. START DATE: 1/4/2021. TIME DEVOTED IS APPROXIMATELY 3 HOURS PER WEEK
CRS (Client Relationship Summary) - RIA
Click below to view William Jameson Mcfadden'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
August 31, 2010 - Present
WELLINGTON SHIELDS & CO., LLC
Office #1: 60 Broad Street 39th Floor, New York, NY, 10004Office #2: 60 Broad St. 39th Floor, New York, NY 10004RIA
BD
CRD#: 149021
NEW YORK, NY
Current
August 18, 2021 - Present
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
Office #1: 60 Broad St. 39th Floor, New York, NY 10004RIA
CRD#: 150529
NEW YORK, NY
Current
August 18, 2021 - Present
CAPITAL MANAGEMENT ASSOCIATES INC
Office #1: 60 Broad Street 39th Floor, New York, NY 10004RIA
CRD#: 104783
NEW YORK, NY
Current
November 19, 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
September 20, 2007 - December 11, 2009
SHIELDS & COMPANY
BD
CRD#: 11053
NEW YORK, NY
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(12/18/2013)
RR
District of Columbia(1/4/2018)
RR
Florida(11/28/2012)
RR
Georgia(9/15/2015)
RR
Illinois(1/4/2018)
RR
Kentucky(2/19/2010)
RR
Maine(3/27/2017)
RR
Montana(4/4/2013)
RR
New Jersey(3/27/2017)
RR
New York(12/23/2009)
IAR
New York(8/18/2021)
RR
North Carolina(1/5/2018)
RR
Pennsylvania(3/27/2017)
RR
Rhode Island(1/4/2018)
IAR
Virginia(8/31/2010)
RR
Virginia(6/3/2015)
RR
Washington(12/23/2009)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)Upgrade to AdvisorCheck Premium
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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)
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
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.
