JB
Joseph Barbera
WELLINGTON SHIELDS CAPITAL MANAGEMENT
NEW YORK, NY 10004
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CRD#: 7622118
JB
Professional summary
Joseph Barbera 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.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Joseph has worked at 4 firms and has passed the Series 66, Series 7TO and SIE 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Barbera'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 6, 2023 - Present
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
Office #1: 60 Broad St. 39th Floor, New York, NY 10004RIA
CRD#: 150529
NEW YORK, NY
Current
June 6, 2023 - Present
WELLINGTON SHIELDS & CO., LLC
Office #1: 60 Broad St. 39th Floor, New York, NY 10004RIA
BD
CRD#: 149021
NEW YORK, NY
Current
June 6, 2023 - Present
WELLINGTON SHIELDS & CO., LLC
Office #1: 60 Broad Street 39th Floor, New York, NY 10004RIA
BD
CRD#: 149021
NEW YORK, NY
Past
January 10, 2023 - May 10, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
NEW YORK CITY, NY
Past
September 14, 2022 - May 9, 2023
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
NEW YORK CITY, 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
Arizona(10/18/2023)
RR
California(10/18/2023)
RR
Colorado(10/18/2023)
RR
Connecticut(10/18/2023)
RR
Delaware(2/7/2024)
RR
District of Columbia(2/7/2024)
RR
Florida(10/18/2023)
RR
Georgia(2/7/2024)
RR
Maine(2/7/2024)
RR
Maryland(10/18/2023)
RR
Massachusetts(10/18/2023)
RR
Michigan(2/7/2024)
RR
Minnesota(1/26/2024)
RR
Montana(8/14/2025)
RR
Nevada(10/18/2023)
RR
New Hampshire(2/7/2024)
RR
New Jersey(10/18/2023)
RR
New York(6/6/2023)
IAR
New York(6/6/2023)
RR
North Carolina(10/18/2023)
RR
Ohio(10/18/2023)
RR
Pennsylvania(10/18/2023)
RR
Rhode Island(2/7/2024)
RR
South Carolina(10/18/2023)
RR
South Dakota(8/16/2023)
RR
Texas(10/18/2023)
RR
Vermont(10/18/2023)
RR
Virginia(10/18/2023)
RR
Washington(10/18/2023)
RR
Wisconsin(10/18/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/14/2022
General Securities Representative ExaminationGeneral 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 CAPITAL MANAGEMENT, LLC
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
CRD#: 150529 / SEC#: 801-70712
RIA
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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.
