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William R. Purinton

WELLINGTON SHIELDS & CO.
Shelburne Falls, MA 01370
CRD#: 8187651
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WP
William Robert PurintonWELLINGTON SHIELDS & CO.

Professional summary

William Robert Purinton, who also goes by Bob Purinton, Memo Purinton, is a registered financial professional currently at WELLINGTON SHIELDS & CO., LLC located in Shelburne Falls, Massachusetts.

William is registered as a RR (Registered Representative) and started their career in finance in 2025. William has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.

Aliases

Bob Purinton | Memo Purinton

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Robert Purinton's CRS (Customer Relationship Summary).
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®
None

Experience

Current

November 25, 2025 - Present

WELLINGTON SHIELDS & CO., LLC

Office #1: 29 Bridge Street, Shelburne Falls, MA 01370
RIA
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/2/2026
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/25/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/2/2025
Securities Industry Essentials Examination
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)

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM (3/24/2025)
PART 2A OF FORM ADV: FIRM BROCHURE (3/24/2025)

Direct owners and executive officers

NamePositionCRD#
WELLINGTON SHIELDS HOLDINGS, LLCOWNER
CEMBROLA, JOSEPH NICHOLASMEMBER OPERATIONS2310761
CURCURU, PHILIP MICHAELCFO/COO4170350
GRANT, THOMAS WATERSMANAGING MEMBER227594
GULDEN, PAUL IMMO JRMANAGING MEMBER231863
MARCH, EDWARD KENNETHSVP, HEAD OF TRADING, MSRB PRINCIPAL, SROP/CROP2100535
MCFADDEN, WILLIAM JAMESONCEO5337971
PORTAS, STEPHEN JOHNPRESIDENT, CHIEF COMPLIANCE OFFICER2482930
SHADEK, LAURENCE ARTHURMANAGING MEMBER/SECY419483
SHIELDS, DAVID VINCENTCHAIRMAN/MANAGING MEMBER1072810
SPERRY, MARK PORTERMEMBER1330909

Regulatory assets under management

Total Number of Accounts524
AUM (Assets Under Management)$ 470,890,341

Disclosures

Regulatory Event4
Arbitration1

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/29/2025
Cover Page
Report
08/29/2024
Cover Page
Report
11/22/2023
Cover Page
Report
01/27/2023
Cover Page
Report

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.

Company Information

WELLINGTON SHIELDS & CO., LLC

CRD#: 149021Shelburne Falls, MA 01370

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