Roberta K. Stafford

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CRD#: 865356

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Roberta Kay Stafford, who also goes by B.k. Stafford, Roberta Kay Wyatt, was a registered financial professional .

Roberta is a previously registered financial professional and started their career in finance in 1979. Roberta had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

B.k. Stafford | Roberta Kay Wyatt

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 Warren Land Trust 50 Cemetery Road Warren, CT 06754 Starting March 11, 2017 - Investment Related - Serving on the Board of Trustees - non compensated role, both Finance and Stewardship Committees, assisting with review of accounts, helping with investment decisions, decisions related to the stewardship of the land and conservation easements held by the trust. Time devoted mostly on weekends, very minimal time (less than 1 hour per month) devoted during working hours. THE 110 HICKS ST. OWNERS CORP 110 HICKS STREET BROOKLYN NY 11201 NON-INVESTMENT CO-OP BOARD 2-3 NON MARKET HOURS WELLINGTON SHIELDS CAPITAL MANAGEMENT 140 BROADWAY, NEW YORK, NY 10005 INVESTMENT RELATED REGISTERED INVESTMENT ADVISOR PORTFOLIO MANAGER MAKE INVESTMENT DECISIONS FOR ADVISORY ACCOUNTS. 5+ HOURS PER MONTH

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 27, 2011 - December 31, 2024

WELLINGTON SHIELDS & CO., LLC

RIA

CRD#: 149021

NEW YORK, NY

Past

July 27, 2011 - December 31, 2024

WELLINGTON SHIELDS & CO., LLC

CRD#: 149021

NEW YORK, NY

Past

July 25, 2011 - December 31, 2024

WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC

RIA

CRD#: 150529

NEW YORK, NY

Past

January 25, 2011 - August 17, 2011

GLOBAL ARENA INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 135835

NEW YORK, NY

Past

June 22, 2009 - August 17, 2011

GLOBAL ARENA CAPITAL CORP

CRD#: 16871

NEW YORK, NY

Past

October 21, 2008 - June 22, 2009

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

NEW YORK CITY, NY

Past

May 15, 2008 - June 26, 2009

NATIONAL SECURITIES CORPORATION

CRD#: 7569

NEW YORK, NY

Past

May 1, 1979 - May 28, 2008

MELHADO, FLYNN & ASSOCIATES, INC.

CRD#: 7340

NEW YORK, 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".

WELLINGTON SHIELDS & CO., LLC

CRD#: 149021 / SEC#: 801-70755, 8-68098

RIA

Registered Investment Advisory firm - SEC (3/9/2010 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/5/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/1/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/21/1979

General Securities Representative Examination

Current Firm

WELLINGTON SHIELDS & CO., LLC

CRD#: 149021 / SEC#: 801-70755, 8-68098

RIA

Registered Investment Advisory firm - SEC (3/9/2010 Approved)

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

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

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	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.

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Roberta K. Stafford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLINGTON SHIELDS & CO., LLC

WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC

GLOBAL ARENA INVESTMENT MANAGEMENT, LLC

GLOBAL ARENA CAPITAL CORP

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

MELHADO, FLYNN & ASSOCIATES, INC.

Primary Firm SEC Registration

WELLINGTON SHIELDS & CO., LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/5/2008

Series 63

Date: 9/1/1988

SIE

Date: 10/1/2018

Series 7

Date: 4/21/1979

Current Firm

WELLINGTON SHIELDS & CO., LLC

Contact information

SEC notice filing (16 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

WELLINGTON SHIELDS & CO., LLC

TRUST BUT VERIFY

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