Julian Lecraw
Professional summary
Julian Lecraw III, who also goes by Julian Lecraw, is a registered financial advisor currently at WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC located in New York, New York and WELLINGTON SHIELDS & CO., LLC located in New York, New York.
Julian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Julian has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 79 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Julian Lecraw III's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 26, 2020 - Present
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
Office #1: 60 Broad St. 39th Floor, New York, NY 10004January 20, 2017 - Present
WELLINGTON SHIELDS & CO., LLC
Office #1: 60 Broad Street 39th Floor, New York, NY 10004January 14, 2015 - March 3, 2015
BSP SECURITIES, LLC
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
(7/24/2019)
(8/11/2020)
(2/12/2019)
(5/13/2021)
(5/14/2021)
(9/30/2022)
(8/10/2017)
(8/11/2020)
(8/26/2020)
(1/20/2017)
(5/13/2021)
(11/16/2022)
(8/10/2017)
Exams
FINRA
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
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.
