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  5. WELLINGTON SHIELDS & CO., LLC

WELLINGTON SHIELDS & CO., LLC

Headquarter

Company Details

Name: WELLINGTON SHIELDS & CO., LLC
Jurisdiction: New York
Legal type: DOMESTIC LIMITED LIABILITY COMPANY
Status: Active
Date of registration: 29 Aug 2008 (17 years ago)
Entity Number: 3714787
ZIP code: 10005
County: New York
Place of Formation: New York
Address: 140 BROADWAY, 44TH FLOOR, NEW YORK, NY, United States, 10005

Links between entities

Type Company Name Company Number State
Headquarter of WELLINGTON SHIELDS & CO., LLC, FLORIDA M09000004409 FLORIDA

Central Index Key

CIK number Mailing Address Business Address Phone
1506073 140 BROADWAY, NEW YORK, NY, 10005 140 BROADWAY, NEW YORK, NY, 10005 212-320-3000

Filings since 2024-11-13
Form type 13F-HR
File number 028-14518
Filing date 2024-11-13
Reporting date 2024-09-30
File View File

Filings since 2024-08-07
Form type 13F-HR
File number 028-14518
Filing date 2024-08-07
Reporting date 2024-06-30
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Filings since 2024-05-23
Form type 13F-HR/A
File number 028-14518
Filing date 2024-05-23
Reporting date 2024-03-31
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Filings since 2024-05-23
Form type 13F-HR/A
File number 028-14518
Filing date 2024-05-23
Reporting date 2023-12-31
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Filings since 2024-05-23
Form type 13F-HR/A
File number 028-14518
Filing date 2024-05-23
Reporting date 2024-03-31
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Filings since 2024-05-03
Form type 13F-HR
File number 028-14518
Filing date 2024-05-03
Reporting date 2024-03-31
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Filings since 2024-02-09
Form type 13F-HR
File number 028-14518
Filing date 2024-02-09
Reporting date 2023-12-31
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Filings since 2023-11-14
Form type 13F-HR
File number 028-14518
Filing date 2023-11-14
Reporting date 2023-09-30
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Filings since 2023-08-11
Form type 13F-HR
File number 028-14518
Filing date 2023-08-11
Reporting date 2023-06-30
File View File

Filings since 2023-05-11
Form type 13F-HR
File number 028-14518
Filing date 2023-05-11
Reporting date 2023-03-31
File View File

Filings since 2023-02-15
Form type 13F-HR
File number 028-14518
Filing date 2023-02-15
Reporting date 2022-12-31
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Filings since 2022-11-14
Form type 13F-HR
File number 028-14518
Filing date 2022-11-14
Reporting date 2022-09-30
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Filings since 2022-08-12
Form type 13F-HR
File number 028-14518
Filing date 2022-08-12
Reporting date 2022-06-30
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Filings since 2022-05-09
Form type 13F-HR
File number 028-14518
Filing date 2022-05-09
Reporting date 2022-03-31
File View File

Filings since 2022-02-15
Form type 13F-HR
File number 028-14518
Filing date 2022-02-15
Reporting date 2021-12-31
File View File

Filings since 2021-11-10
Form type 13F-HR
File number 028-14518
Filing date 2021-11-10
Reporting date 2021-09-30
File View File

Filings since 2021-08-12
Form type 13F-HR
File number 028-14518
Filing date 2021-08-12
Reporting date 2021-06-30
File View File

Filings since 2021-05-12
Form type 13F-HR
File number 028-14518
Filing date 2021-05-12
Reporting date 2021-03-31
File View File

Filings since 2021-02-09
Form type 13F-HR
File number 028-14518
Filing date 2021-02-09
Reporting date 2020-12-31
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Filings since 2020-11-10
Form type 13F-HR
File number 028-14518
Filing date 2020-11-10
Reporting date 2020-09-30
File View File

Filings since 2020-08-05
Form type 13F-HR
File number 028-14518
Filing date 2020-08-05
Reporting date 2020-06-30
File View File

Filings since 2020-05-07
Form type 13F-HR
File number 028-14518
Filing date 2020-05-07
Reporting date 2020-03-31
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Filings since 2020-02-11
Form type 13F-HR
File number 028-14518
Filing date 2020-02-11
Reporting date 2019-12-31
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Filings since 2019-11-05
Form type 13F-HR
File number 028-14518
Filing date 2019-11-05
Reporting date 2019-09-30
File View File

Filings since 2019-08-08
Form type 13F-HR
File number 028-14518
Filing date 2019-08-08
Reporting date 2019-06-30
File View File

Filings since 2019-05-10
Form type 13F-HR
File number 028-14518
Filing date 2019-05-10
Reporting date 2019-03-31
File View File

Filings since 2019-02-11
Form type 13F-HR
File number 028-14518
Filing date 2019-02-11
Reporting date 2018-12-31
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Filings since 2018-11-06
Form type 13F-HR
File number 028-14518
Filing date 2018-11-06
Reporting date 2018-09-30
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Filings since 2018-08-28
Form type 13F-HR/A
File number 028-14518
Filing date 2018-08-28
Reporting date 2018-03-31
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Filings since 2018-08-02
Form type 13F-HR
File number 028-14518
Filing date 2018-08-02
Reporting date 2018-06-30
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Filings since 2018-05-03
Form type 13F-HR
File number 028-14518
Filing date 2018-05-03
Reporting date 2018-03-31
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Filings since 2018-02-06
Form type 13F-HR
File number 028-14518
Filing date 2018-02-06
Reporting date 2017-12-31
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Filings since 2017-11-06
Form type 13F-HR
File number 028-14518
Filing date 2017-11-06
Reporting date 2017-09-30
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Filings since 2017-07-25
Form type 13F-HR
File number 028-14518
Filing date 2017-07-25
Reporting date 2017-06-30
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Filings since 2017-05-03
Form type 13F-HR
File number 028-14518
Filing date 2017-05-03
Reporting date 2017-03-31
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Filings since 2017-02-02
Form type 13F-HR
File number 028-14518
Filing date 2017-02-02
Reporting date 2016-12-31
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Filings since 2016-11-01
Form type 13F-HR
File number 028-14518
Filing date 2016-11-01
Reporting date 2016-09-30
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Filings since 2016-08-15
Form type 13F-HR
File number 028-14518
Filing date 2016-08-15
Reporting date 2016-06-30
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Filings since 2016-05-26
Form type 13F-HR
File number 028-14518
Filing date 2016-05-26
Reporting date 2016-03-31
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Filings since 2016-02-08
Form type 13F-HR
File number 028-14518
Filing date 2016-02-08
Reporting date 2015-12-31
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Filings since 2015-11-24
Form type 13F-HR
File number 028-14518
Filing date 2015-11-24
Reporting date 2015-09-30
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Filings since 2015-07-22
Form type 13F-HR
File number 028-14518
Filing date 2015-07-22
Reporting date 2015-06-30
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Filings since 2015-05-21
Form type 13F-HR
File number 028-14518
Filing date 2015-05-21
Reporting date 2015-03-31
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Filings since 2015-02-12
Form type 13F-HR
File number 028-14518
Filing date 2015-02-12
Reporting date 2014-12-31
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Filings since 2014-11-14
Form type 13F-HR
File number 028-14518
Filing date 2014-11-14
Reporting date 2014-09-30
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Filings since 2014-08-06
Form type 13F-HR
File number 028-14518
Filing date 2014-08-06
Reporting date 2014-06-30
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Filings since 2014-05-13
Form type 13F-HR
File number 028-14518
Filing date 2014-05-13
Reporting date 2014-03-31
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Filings since 2014-02-28
Form type 13F-HR/A
File number 028-14518
Filing date 2014-02-28
Reporting date 2013-12-31
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Filings since 2014-02-11
Form type 13F-HR
File number 028-14518
Filing date 2014-02-11
Reporting date 2013-12-31
File View File

Filings since 2013-11-15
Form type 13F-HR
File number 028-14518
Filing date 2013-11-15
Reporting date 2013-09-30
File View File

Filings since 2013-08-14
Form type 13F-HR
File number 028-14518
Filing date 2013-08-14
Reporting date 2013-06-30
File View File

Filings since 2013-05-15
Form type 13F-HR
File number 028-14518
Filing date 2013-05-15
Reporting date 2013-03-31
File View File

Filings since 2013-02-11
Form type 13F-HR
File number 028-14518
Filing date 2013-02-11
Reporting date 2012-12-31
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Filings since 2012-11-27
Form type 13F-HR
File number 028-14518
Filing date 2012-11-27
Reporting date 2012-09-30
File View File

Filings since 2012-08-17
Form type 13F-HR/A
File number 028-14518
Filing date 2012-08-17
Reporting date 2012-06-30
File View File

Filings since 2012-08-10
Form type 13F-HR
File number 028-14518
Filing date 2012-08-10
Reporting date 2012-06-30
File View File

Filings since 2012-05-15
Form type 13F-HR
File number 028-14518
Filing date 2012-05-15
Reporting date 2012-03-31
File View File

Filings since 2012-02-13
Form type 13F-HR
File number 028-14518
Filing date 2012-02-13
Reporting date 2011-12-31
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Filings since 2011-11-15
Form type 13F-HR
File number 028-14518
Filing date 2011-11-15
Reporting date 2011-09-30
File View File

Filings since 2011-08-15
Form type 13F-HR/A
File number 028-14518
Filing date 2011-08-15
Reporting date 2011-06-30
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Filings since 2011-08-10
Form type 13F-HR
File number 028-14518
Filing date 2011-08-10
Reporting date 2011-06-30
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Legal Entity Identifier

LEI number Registered As Jurisdiction Of Formation General Category Entity Status Entity created at
254900ULLOEJ3RYQ9S69 3714787 US-NY GENERAL ACTIVE 2008-08-29

Addresses
Legal 140 Broadway, 44th Floor, New York, US-NY, US, 10005
Headquarters 140 Broadway, 44th Floor, New York, US-NY, US, 10005

Registration details
Registration Date 2021-06-15
Last Update 2024-04-04
Status ISSUED
Next Renewal 2025-04-15
LEI Issuer 5493001KJTIIGC8Y1R12
Corroboration Level FULLY_CORROBORATED
Data Validated As 3714787

form 5500

Plan Name Plan Year EIN/PN Received Sponsor Total number of participants
WELLINGTON SHIELDS 401(K) AND PROFIT SHARING PLAN 2023 263489406 2024-10-15 WELLINGTON SHIELDS & CO. LLC 86
File View Page
Three-digit plan number (PN) 001
Effective date of plan 1983-06-30
Business code 523120
Sponsor’s telephone number 2123203032
Plan sponsor’s address 140 BROADWAY FL 44TH, NEW YORK, NY, 100051108

Signature of
Role Plan administrator
Date 2024-10-15
Name of individual signing PHILIP CURCURU
Valid signature Filed with authorized/valid electronic signature
WELLINGTON SHIELDS 401(K) AND PROFIT SHARING PLAN 2022 263489406 2023-09-20 WELLINGTON SHIELDS & CO. LLC 91
File View Page
Three-digit plan number (PN) 001
Effective date of plan 1983-06-30
Business code 523120
Sponsor’s telephone number 2123203032
Plan sponsor’s address 140 BROADWAY FL 44TH, NEW YORK, NY, 100051108

Signature of
Role Plan administrator
Date 2023-09-20
Name of individual signing PHILIP CURCURU
WELLINGTON SHIELDS 401(K) AND PROFIT SHARING PLAN 2021 263489406 2022-10-13 WELLINGTON SHIELDS & CO. LLC 97
File View Page
Three-digit plan number (PN) 001
Effective date of plan 1983-06-30
Business code 523120
Sponsor’s telephone number 2123203032
Plan sponsor’s address 140 BROADWAY FL 44TH, NEW YORK, NY, 100051108

Signature of
Role Plan administrator
Date 2022-10-13
Name of individual signing PHILIP CURCURU
WELLINGTON SHIELDS 401(K) AND PROFIT SHARING PLAN 2020 263489406 2021-10-14 WELLINGTON SHIELDS & CO. LLC 86
File View Page
Three-digit plan number (PN) 001
Effective date of plan 1983-06-30
Business code 523120
Sponsor’s telephone number 2123203000
Plan sponsor’s address 140 BROADWAY, 44TH FLOOR, NEW YORK, NY, 10005

Signature of
Role Plan administrator
Date 2021-10-14
Name of individual signing PHILIP CURCURU
WELLINGTON SHIELDS 401(K) AND PROFIT SHARING PLAN 2019 263489406 2020-10-14 WELLINGTON SHIELDS & CO. LLC 84
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2012-01-01
Business code 523120
Sponsor’s telephone number 2123203000
Plan sponsor’s address 140 BROADWAY, 44TH FLOOR, NEW YORK, NY, 10005

Signature of
Role Plan administrator
Date 2020-10-14
Name of individual signing PHILIP M CURCURU
Role Employer/plan sponsor
Date 2020-10-14
Name of individual signing PHILIP M CURCURU
WELLINGTON SHIELDS 401(K) AND PROFIT SHARING PLAN 2018 263489406 2019-10-14 WELLINGTON SHIELDS & CO. LLC 91
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2012-01-01
Business code 523120
Sponsor’s telephone number 2123203000
Plan sponsor’s address 140 BROADWAY, 44TH FLOOR, NEW YORK, NY, 10005

Signature of
Role Plan administrator
Date 2019-10-14
Name of individual signing PHILIP M. CURCURU
Role Employer/plan sponsor
Date 2019-10-14
Name of individual signing PHILIP M CURCURU
WELLINGTON SHIELDS 401(K) AND PROFIT SHARING PLAN 2017 263489406 2018-10-15 WELLINGTON SHIELDS & CO. LLC 90
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2012-01-01
Business code 523120
Sponsor’s telephone number 2123200000
Plan sponsor’s address 140 BROADWAY, 44TH FLOOR, NEW YORK, NY, 10005

Signature of
Role Plan administrator
Date 2018-10-15
Name of individual signing PHILIP M. CURCURU
Role Employer/plan sponsor
Date 2018-10-15
Name of individual signing PHILIP M CURCURU
WELLINGTON SHIELDS 401(K) AND PROFIT SHARING PLAN 2016 263489406 2017-10-12 WELLINGTON SHIELDS & CO. LLC 98
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2012-01-01
Business code 523120
Sponsor’s telephone number 2123203000
Plan sponsor’s address 140 BROADWAY, 44TH FLOOR, NEW YORK, NY, 10005

Signature of
Role Plan administrator
Date 2017-10-12
Name of individual signing PHILIP M. CURCURU
Role Employer/plan sponsor
Date 2017-10-12
Name of individual signing PHILIP M CURCURU
WELLINGTON SHIELDS 401(K) AND PROFIT SHARING PLAN 2015 263489406 2016-10-14 WELLINGTON SHIELDS & CO. LLC 96
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2012-01-01
Business code 523120
Sponsor’s telephone number 2123203000
Plan sponsor’s address 140 BROADWAY, 44TH FLOOR, NEW YORK, NY, 10005

Signature of
Role Plan administrator
Date 2016-10-14
Name of individual signing PHILIP M. CURCURU
Role Employer/plan sponsor
Date 2016-10-14
Name of individual signing PHILIP M CURCURU

DOS Process Agent

Name Role Address
WELLINGTON SHIELDS & CO., LLC DOS Process Agent 140 BROADWAY, 44TH FLOOR, NEW YORK, NY, United States, 10005

History

Start date End date Type Value
2010-08-27 2024-08-06 Address 140 BROADWAY 44TH FLR, NEW YORK, NY, 10005, USA (Type of address: Service of Process)
2008-08-29 2010-08-27 Address 11 BROADWAY, SUITE 615, NEW YORK, NY, 10004, USA (Type of address: Service of Process)

Filings

Filing Number Date Filed Type Effective Date
240806000951 2024-08-06 BIENNIAL STATEMENT 2024-08-06
220928010126 2022-09-28 BIENNIAL STATEMENT 2022-08-01
200821060362 2020-08-21 BIENNIAL STATEMENT 2020-08-01
170317006192 2017-03-17 BIENNIAL STATEMENT 2016-08-01
140820006408 2014-08-20 BIENNIAL STATEMENT 2014-08-01
120823002141 2012-08-23 BIENNIAL STATEMENT 2012-08-01
100827002807 2010-08-27 BIENNIAL STATEMENT 2010-08-01
080911000556 2008-09-11 CERTIFICATE OF AMENDMENT 2008-09-11
080829000154 2008-08-29 ARTICLES OF ORGANIZATION 2008-08-29

Paycheck Protection Program

Loan Number Loan Funded Date SBA Origination Office Code Loan Delivery Method Borrower Street Address
9874097110 2020-04-15 0202 PPP 140 Broadway, 44th Floor, NEW YORK, NY, 10005
Loan Status Date 2021-06-09
Loan Status Paid in Full
Loan Maturity in Months 24
SBA Guaranty Percentage 100
Loan Approval Amount (at origination) 1274785
Loan Approval Amount (current) 1274785
Undisbursed Amount 0
Franchise Name -
Lender Location ID 233198
Servicing Lender Name Emigrant Bank
Servicing Lender Address 201 S Biscayne Boulevard Ste 1120, Miami, FL, 33131
Rural or Urban Indicator U
Hubzone N
LMI N
Business Age Description Existing or more than 2 years old
Project Address NEW YORK, NEW YORK, NY, 10005-0002
Project Congressional District NY-10
Number of Employees 82
NAICS code 523120
Borrower Race Unanswered
Borrower Ethnicity Unknown/NotStated
Business Type Limited Liability Company(LLC)
Originating Lender ID 48902
Originating Lender Name Emigrant Bank
Originating Lender Address New York, NY
Gender Unanswered
Veteran Unanswered
Forgiveness Amount 1288475.84
Forgiveness Paid Date 2021-05-17

Court Cases

Docket Number Nature of Suit Filing Date Disposition
1407529 Other Contract Actions 2014-09-17 motion before trial
Circuit Second Circuit
Origin original proceeding
Jurisdiction diversity of citizenship
Jury Demand Plaintiff demands jury
Demanded Amount 0
Termination Class Action Missing
Procedural Progress judgement on motion
Nature Of Judgment no monetary award
Judgement defendant
Arbitration On Termination Missing
Office 1
Filing Date 2014-09-17
Termination Date 2016-03-21
Date Issue Joined 2015-03-16
Pretrial Conference Date 2015-06-11
Section 1332
Sub Section BC
Status Terminated

Parties
Name WELLINGTON SHIELDS & CO., LLC
Role Plaintiff
Name BREAKWATER INVESTMENT M,
Role Defendant

Related by officers

No related officers

Related by address

140 BROADWAY, 44TH FLOOR, NEW YORK, NY, United States, 10005

CAPITAL MANAGEMENT ASSOCIATES INCORPORATED SHIELDS CAPITAL CORPORATION SHIELDS TRADING, LLC WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC

Date of last update: 28 Mar 2025

Sources: New York Secretary of State

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