Gail M. Dudack
Professional summary
Gail Marie Dudack, who also goes by Gail Colombo, is a registered financial professional currently at WELLINGTON SHIELDS & CO., LLC located in New York, New York.
Gail is registered as a RR (Registered Representative) and started their career in finance in 1972. Gail has worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 87 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gail Marie Dudack's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 1, 2011 - Present
WELLINGTON SHIELDS & CO., LLC
Office #1: 60 Broad Street 39th Floor, New York, NY 10004November 16, 2006 - March 4, 2011
MIDWOOD SECURITIES, INC.
January 2, 2002 - February 1, 2006
SUNGARD INSTITUTIONAL BROKERAGE INC.
June 24, 1998 - June 29, 1998
SBC WARBURG DILLON READ INC.
July 26, 1995 - December 1, 2000
UBS SECURITIES LLC
July 25, 1987 - July 19, 1995
S.G. WARBURG & CO. INC.
March 10, 1978 - March 18, 1987
PERSHING LLC
February 24, 1978 - March 10, 1978
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
February 14, 1977 - February 24, 1978
PERSHING & CO. INC.
October 24, 1972 - February 14, 1977
PERSHING & CO., INC.
Primary Firm SEC Registration
WELLINGTON SHIELDS & CO., LLC
CRD#: 149021 / SEC#: 801-70755, 8-68098
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/15/2016)
(3/1/2011)
(3/1/2011)
(3/1/2011)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 10/19/1972
Registered Representative ExaminationFINRA
NYSE American LLC
New York Stock Exchange
Current Firm
WELLINGTON SHIELDS & CO., LLC
CRD#: 149021 / SEC#: 801-70755, 8-68098
Contact information
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.
