Wellington Shields Capital Management, LLC

Wellington Shields Capital Management, LLC (WSCM) is an SEC-registered investment adviser established in July 2010, located in New York, NY. WSCM offers discretionary and non-discretionary portfolio management services, tailoring investment strategies based on individual client needs, goals, risk tolerance, and liquidity needs. The firm manages over $999 million in client assets, offering a wrap-fee program for equity, balanced, and fixed income mandates. Fees for portfolio management services range from 0.20% to 1.50% annually for equity and balanced portfolios, and 0.20% to 0.75% annually for fixed income portfolios. WSCM discloses potential conflicts of interest, such as receiving commissions from affiliated broker-dealer services. The firm's investment strategies include fundamental and technical analysis, charting, and third-party manager analysis. WSCM does not charge performance-based fees and generally serves individuals, corporations, trusts, and institutional clients. The firm emphasizes client-directed brokerage, trade aggregation, and monitoring of client accounts. WSCM has no disciplinary events to report and provides detailed information on its business practices, fee structures, investment strategies, and potential conflicts of interest in its brochure.