EP
Ellen Purinton
WELLINGTON SHIELDS & CO.
Shelburne Falls, MA 01370
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CRD#: 6848664
EP
Professional summary
Ellen Purinton is a registered financial advisor currently at WELLINGTON SHIELDS & CO., LLC located in Shelburne Falls, Massachusetts.
Ellen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Ellen has worked at 1 firm and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 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.
Chickley Alp Farm, not investment related, 60 W. Hawley Rd, Hawley, MA 01339, Tree Farm, Co-Owner, 1984, 20 hours per month, general maintenance
CRS (Client Relationship Summary) - RIA
Click below to view Ellen Purinton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ellen Purinton'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
June 29, 2021 - Present
WELLINGTON SHIELDS & CO., LLC
Office #1: 29 Bridge Street, Shelburne Falls, MA 01370RIA
BD
CRD#: 149021
Shelburne Falls, MA
Current
July 23, 2018 - Present
WELLINGTON SHIELDS & CO., LLC
Office #1: 29 Bridge Street, Shelburne Falls, MA 01370RIA
BD
CRD#: 149021
Shelburne Falls, 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 & 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(8/16/2022)
RR
Arkansas(8/2/2021)
RR
California(1/15/2019)
RR
Colorado(1/15/2019)
RR
Connecticut(1/15/2019)
RR
Florida(1/15/2019)
RR
Georgia(8/23/2021)
RR
Idaho(1/15/2019)
RR
Illinois(1/15/2019)
RR
Kentucky(5/8/2020)
RR
Maine(6/25/2020)
RR
Maryland(1/15/2019)
RR
Massachusetts(1/8/2019)
IAR
Massachusetts(6/29/2021)
RR
Michigan(1/15/2019)
RR
New Hampshire(1/15/2019)
RR
New Jersey(1/15/2019)
RR
New York(1/15/2019)
RR
Ohio(1/6/2025)
RR
Oregon(6/24/2020)
RR
Pennsylvania(1/15/2019)
RR
Rhode Island(1/15/2019)
RR
South Carolina(6/20/2024)
RR
Texas(1/15/2019)
RR
Vermont(1/15/2019)
RR
Wyoming(9/29/2020)
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
General Industry/Product Exam
SRO 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.
