WELLINGTON SHIELDS - Key Persons
Job Titles:
- Client Services Associate
Job Titles:
- Executive Council Member of Ellevate
- SVP, Head of Business Development / Head of Institutional Research Sales - Dudack Research Group, a Division of Wellington Shields & Co. LLC
Andrea works with senior management of Wellington Shields (WSC) on strategic projects to enhance and grow our wealth management services and recruitment. Additionally, she serves as Head of Institutional Research Sales for Dudack Research Group (DRG), a division of Wellington Shields, marketing US macro research to buy-side firms including mutual funds, hedge funds, pension funds, and family offices. This includes US equity market strategy, and two models (SP1500 momentum model and SP1500 valuation model).
Previous Experience/Career Highlights:
Prior to Dudack/Wellington, Andrea was an SVP and top performer at Prudential Financial in Institutional Equity Sales, promoting the firm's equity research to large institutional investors in the US and Canada. Andrea frequently organized special events and highly coveted meetings between her clients and senior corporate managements. Earlier, she served as a Vice President of Product Marketing at both LF Rothschild and Donald, Lufkin & Jenrette, marketing research to the internal sales teams in New York, London, Paris, Geneva, and Lugano. Andrea began her career in private banking at Chase Bank (now JP Morgan) as an Investment Associate in the Investment Management Division, but it was her summer internships at Salomon Brothers in Government Bonds that triggered a passion to forge a Wall Street career.
Education and Certifications:
Cornell University, BS - Applied Economics & Management
Certified Financial Planner Certificate, Adelphi University
Harvard Business School, Executive Education
Columbia Business School, Leadership Development
Andrea is an Executive Council Member of Ellevate and a member of National Investor Relations Institute, 100 Women in Finance, CFA Society of New York, Cornell Alumni Association, and Cornell Alumni Admissions Ambassador Network (CAAAN).
Job Titles:
- Wealth Advisor - Thomasville
Job Titles:
- Client Services Associate
Job Titles:
- CEO
- Chairman
- Managing Member
- Senior Portfolio Manager
- Chief Market Strategist - Wellington Shields & Dudack Research Group
- NYSE As a Member
As Chairman, David provides the leadership and direction for Wellington Shields and is actively involved in compliance, trading, and accounting, on a daily basis. In addition, long-range planning, corporate culture, and profitability are overarching goals.
David joined the NYSE as a member in 1966 and continued active on the floor of the Exchange until 2006 when the NYSE went public. In 1982, he was appointed Governor of the NYSE. Less than one month later, Jerry Shields, his brother, joined him to form Shields & Company. David continued on the floor as President of Shields & Co. while Jerry presided as Chairman upstairs in the office. In 1986, he became the first floor broker elected to the Board of the NYSE and continued for three terms.
Job Titles:
- SVP, Senior Wealth Advisor - Branch Manager - Thomasville, GA
- Wealth Advisor - Thomasville
In her role as a Senior Wealth Advisor, Debbie works closely with her clients to create customized portfolios that meet their unique circumstances, risk tolerance, and financial goals. She uses Wellington Shields' research as well as other resources to identify the best investment options among a mix of stocks, mutual funds, bonds, and CDs. Debbie monitors her client's portfolios and speaks to them regularly to rebalance those assets related to market shifts and changing client needs.
Previous Experience/Career Highlights:
Debbie began her career in finance at Dean Witter Reynolds which later became Morgan Stanley. After that, she was with Prudential for five years and then joined Professional Advisory Services where she was a Portfolio Manager and Compliance Officer. Debbie moved up to Thomasville in 1994 from Vero Beach, Florida and joined Shields & Company (predecessor to Wellington Shields) as an Investment Advisor. After a year, she was promoted to Branch Manager of the Thomasville, GA office.
Education and Certifications:
Wayne State University, Michigan, BA - Social Work (major), Psychology (minor)
Job Titles:
- Client Services Associate
Job Titles:
- Chairman
- Managing Member
- Chief Operating Officer, Head Trader, Municipal Principal and Options Principal
Edward March is the Chief Operating Officer of Wellington Shields & Co. LLC (2018). Additionally, he is Head Trader and is the firm's Municipal Principal and Options Principal. Ed joined Wellington Shields as a Senior Vice President after closing his own firm Midwood Securities, Inc. in 2011 and was named Head Trader in August 2012.
Previous Experience/Career Highlights:
Ed joined Midwood Securities in 1995 and was the President from 2005 until 2011 and Chief Executive Officer from 2008 until 2011. He supervised all trading activity and was in charge of the firm's information technology and communications systems. He oversaw the daily activity on the firm's trading desks in New York City and in Freehold, New Jersey, and managed both individual client relationships and the firm's overall sales & marketing efforts. Under Ed's stewardship, Midwood's equity execution performance had consistently been at the top of its peer list, as measured by Elkins/McSherry Co., a highly regarded trading-cost consultant. The results mirrored Ed's philosophy of building long-term relationships and serving institutional investors with independent guidance, integrity, confidentiality, reliability, and quality.
Previously, he was with Tucker Anthony, Inc. in Municipal Syndicate. Ed began his career on Wall Street as an Intern at Shearson Lehman/American Express.
Education and Certifications:
Lafayette College, BA - Economics, Russian Studies minor
Securities Industry Institute at Wharton School of Business
Job Titles:
- Managing Director
- Chief Operating Officer / Head Trader
- Head of Fixed Income Trading
- Managing Director, Head of Fixed Income Trading - Herbst Wealth Management, a Unit of Wellington Shields & Co. LLC
Eileen Connolly is a Managing Director of Herbst Wealth Management and head of Fixed Income Trading. She has spent 20 years at Wellington Shields as a senior member of The Herbst Wealth Management team. In her role as Managing Director, Eileen provides comprehensive advisory services that cater to high-net-worth individuals and families, corporations, trusts, and foundations across many asset classes. She is especially adept in the municipal fixed income markets as well as investment grade taxable bonds.
Previous Experience/Career Highlights:
Prior to joining Wellington Shields & Company, Eileen served as a fixed income trader and assistant portfolio manager at Dominick and Dominick and at Cowen & Company.
Education and Certifications:
Eileen earned her B.S. in Mathematics and Statistics from SUNY Stony Brook.
Job Titles:
- Senior Wealth Advisor - Shelburne Falls
Job Titles:
- CEO
- Chief Market Strategist
- Managing Member
- Senior Portfolio Manager
- Chief Market Strategist - Wellington Shields & Dudack Research Group, a Division of Wellington Shields & Co. LLC
Gail M. Dudack is the Chief Market Strategist both at Wellington Shields and its Dudack Research Group division, an independent institutional research firm, she founded, that provides economic, fundamental, quantitative and technical strategy and tools to mutual funds, hedge funds, and private money managers. Dudack Research Group became a division of Wellington Shields & Co. LLC, a NYSE member firm, in 2011 when Midwood Securities, Inc. joined Wellington Shields.
Previous Experience/Career Highlights:
Prior to setting up her own firm under Midwood Securities, Inc. in 2006, Gail was the Chief U.S. Investment Strategist for UBS AG and its predecessor firms beginning with S.G. Warburg PLC. She began her Wall Street career at the Pershing division of Donaldson, Lufkin & Jenrette Inc. (now Credit Suisse Group AG).
Gail was the president of the Donaldson, Lufkin & Jenrette Inc. Employees Federal Credit Union from 1977 to 1980 and trustee of the S.G. Warburg Employee Retirement Board from 1988-1995. She was president of the Market Technicians Association from 1985 to 1987, and a member of the New York Society of Security Analysts Board of Directors form 1989-1991 and a member of the NYSSA Advisory Council. She is a founding member of the International Federation of Technical Analysts, a past arbitrator for the NASD and a past member of the Department of Labor's Business Research Advisory Council (BRAC) for consumer and producer price indices. She is a trustee emerita and past Chair (2003-2005) of the Securities Industry Institute, the professional education body of the Securities Industry and Financial Markets Association (SIFMA). Gail was a panelist on "Wall $treet Week with Louis Rukeyser" for over 20 years and appeared on the subsequent PBS show "Wall Street Week with Fortune". She has been a guest on CNBC, "Nightly Business Report" (PBS), Bloomberg TV and Bloomberg Radio. She is a popular speaker at a variety of business and investment forums both domestically and abroad.
Gail attained the Chartered Market Technician (CMT) designation in 1990 awarded by the Market Technicians Association (MTA) and in early 1997, received the MTA's "Best of the Best Award" for her price analysis and market forecasting for the previous five-year period. In May 2007, she received the MTA's Annual Award honoring both her career and her contribution to the professional organization. Skidmore College presented her with their Special Achievement Award in June 2001. Gail received Skidmore's Outstanding Service Award in June 2010 and was honored to have the boardroom in Skidmore's Career Development Center named in her honor in October 2015. She has contributed to several documentaries and books on the stock market and the industry is featured in "Bull! A History of the Boom, 1982-1999" by Maggie Mahar (Harper Business 2003) and is the subject of a chapter in "The Heretics of Finance" by Andrew W. Lo and Jasmina Hasanhodzic (Bloomberg Press 2009).
Education and Certifications:
Skidmore College, BA - Economics
Gail was the Co-Chair of Skidmore College's Parents Council (2009-2011), the President of the Skidmore Alumni Association 2011-2014, a member of Skidmore's Board of Trustees (2011-2014) and is a member of several professional organizations including the Women's Forum in NY, where she was formerly a member of the Finance Committee.
Job Titles:
- VP / Wealth Advisor - Locust Valley
Job Titles:
- Senior Director of the Equity Risk Management Division at Wellington Shields & Co
- Senior Director, Equity Risk Management
Jason Weissman is the Senior Director of the Equity Risk Management Division at Wellington Shields & Co, LLC.Jason joined Wellington to develop and manage our Equity Risk Management, Strategic Option Solutions, and Risk-Adjusted Portfolio Management practices.
Previous Experience/Career Highlights:
Prior to joining us, Mr. Weissman was at Bishop Rosen & Co. Inc. where he built and served as the Senior Director of their Equity Risk Management Division. At Bishop Rosen, Mr. Weissman counseled officers, directors, and high-level employees of publicly-traded corporations regarding strategies for their ESPP, ESOP plans, and respective concentrated equity and options holdings.
Before his tenure at Bishop Rosen, Mr. Weissman was at Wachovia Securities and was a member of the Chairman's Circle of Excellence, the Director's Club and the Chairman's Advisory Circle. At Wachovia, Mr. Weissman was the Northeast Advisor who counseled publicly traded corporations about their ESPP and ESOP plans. Prior to his work with Wachovia, Mr. Weissman served as a Senior Vice President at Morgan Stanley, where he first began to create concentrated asset management and risk-adjusted portfolio strategies. At Morgan Stanley, he was a recognized member of both the Director's Club and President's Club. Mr. Weissman earned a number of merit awards, including the Award for Outstanding Achievement and the National Sales Director Award. Mr. Weissman began his career at Gruntal, where he served as an Associate Financial Advisor.
Job Titles:
- Registered Client Services Associate - Locust Valley
- VP, Wealth Advisor - Locust Valley, NY
Jim manages investment portfolios for both domestic and international high net worth individuals, with a focus on retired Corporate Officers.
Previous Experience/Career Highlights:
Prior to joining Wellington Shields, Jim was Director of Investments at Oppenheimer & Co. Before that, he was a VP and International Financial Advisor at Merrill Lynch, and SVP, Financial Advisor, and Corporate Client Group Director at Salomon Smith Barney. Earlier, Jim worked in International Treasury, including positions at Texaco Inc. and American Standard.
Jim began his career in the Credit Training Program at the New York branch of European American Bank.
Education and Certifications:
Iona College, BBA - Marketing; MBA, - Finance
Job Titles:
- Registered Senior Client Service Associate
Judith supports Financial Advisors and Portfolio Managers and works diligently to provide exceptional service to our clients including processing client requests, resolving client inquiries, making sure key client information and documentation is up to date and onboarding new accounts. She efficiently processes trades, interacting with our traders on behalf of our advisors and clients. Judith is adept at working with SmartStation, a digital platform offered through our clearing firm, First Clearing Corp. and Advent/Axys, a portfolio management system.
Previous Experience/Career Highlights:
Prior to joining Wellington Shields, Judith worked as a Sales Assistant at a small firm but she began her career at Melhado, Flynn & Associates, Inc. where she supported several financial advisors and at the same time earned a college degree.
Education and Certifications:
City College of New York, Bernard M Baruch School of Business, BBA
Job Titles:
- Senior Client Services Associate
Job Titles:
- Office Operations Manager - Thomasville
Job Titles:
- Managing Member / Co - Chief Investment Officer
Job Titles:
- Registered Senior Client Services Supervisor
At Wellington Shields & Co, Luanne trains and manages client services associates and works with several financial advisors and their clients. She troubleshoots operational issues that arise to bring about a timely and satisfactory resolution and has streamlined the process for onboarding new clients. Additionally, Luanne serves as a key liaison between WSC's Financial Advisors, their clients, and our clearing firm, First Clearing Corp., to make sure complicated transactions run smoothly.
Luanne values the long-term relationships she's established with clients over the years and enjoys mentoring the client service associates, teaching them best practices and making sure they uphold WSC's high standards of excellence in client service.
Previous Experience/Career Highlights:
Luanne came to Wellington Shields & Co. as part of the merger of H.G. Wellington & Co. and Shields and Co. in 2009. She had joined H.G. Wellington in March of 1993 as a Sales Assistant working directly with HG Wellington, Jr. and various financial advisors. Her responsibilities grew over time after she became registered and she began training and overseeing the sales assistants. After the merger with Shields & Co.in 2009, Luanne's role became better defined as a Registered Senior Client Service Supervisor.
Luanne's career on Wall Street began right after college with a two-year stint at Donaldson Lufkin and Jenrette where she worked with the Operations Manager and learned the ropes. She was quickly promoted to be a Sales Assistant to one of the top producers.
Education and Certifications:
Georgian Court University - BS- Business Administration/Minor in Marketing - Cum Laude
Job Titles:
- Member of the Thomasville Rotary Club
- Wealth Advisor - Thomasville, GA
As a Wealth Advisor, Matt is excited to help clients navigate the financial markets. Bolstered by his background in healthcare (Nuclear Pharmacy), Matt brings an analytical/data-driven approach to help inform the financial decisions of each individual client. He understands that each client has specific goals that require specific plans to ensure that they reach their desired destination.
Previous Experience/Career Highlights:
For the first 15 years of his career, Matt worked as a Nuclear Pharmacist and Nuclear Pharmacy Manager. Matt served on the Sterile Compounding committee for the South Carolina Board of Pharmacy for 7 years. Eager for new career challenges, Matt joined Wellington Shields in early 2022.
Education and Certifications:
Clemson University - B.S. Microbiology
The Medical University of South Carolina - Doctor of Pharmacy w/ Nuclear specialty
Matt is a member of the Thomasville Rotary Club and enjoys any number of outdoor activities, from hunting and fishing to backpacking. Matt and his wife are the proud parents of two beautiful daughters.
Job Titles:
- Financial Advisor
- Managing Member
- Co - CIO of the Wellington Shields Investment Policy Committee
- Managing Member, Co - Chief Investment Officer
Paul believes that making money takes time, but it can only be done with an eye on the future. Paul serves as the Co-CIO of the Wellington Shields Investment Policy Committee and is the author of the quarterly investment letter to Capital Management clients.
Previous Experience/Career Highlights:
Prior to the merger with Shields & Co. in 2009, Paul was a Division Head and Chief Investment Officer at H.G. Wellington and he was a frequent contributor on CNBC for many years.
During the period July 2002 to November 2006, Paul was also the Chief Investment Officer of the Pax Growth Fund, a multi-cap socially responsible growth fund.
He had joined H.G. Wellington in 1978 as a result of the merger with McMullen & Hard, where Paul was a General Partner and Senior Portfolio Manager since 1970.
Earlier, Paul was an investment specialist at The Bank of New York and he got his start in the asset management field working with his Father, who was also in the investment field. Paul served two tours of duty with the U.S. military, the last as a Captain in the Republic of South Vietnam.
Education and Certifications:
University of Virginia, BA
NYU Graduate School of Business (now Stern), studied Accounting & Economics
Paul is a proud Husband, Father and Grandfather and he enjoys gardening in his free time. Throughout his life, Paul has been involved in his community whether it was at UVA when he was President of the UVA Polo Association or locally as a member of the Board of Directors of Monmouth Medical Center, as the Head of The Riverside Drive Association, Monmouth County, NJ, and as a Member of the Board of Directors Rumson Country Day School.
Philip Curcuru - CFO, Chief Compliance Officer, President
Job Titles:
- Chief Compliance Officer
- Chief Financial Officer
- Managing Member
- President
- Shields & Company in 2002 As Chief Financial Officer
Philip is in charge of all facets of the financial operations for Wellington Shields and manages the Accounting, HR and Operations personnel. On a daily basis, Phil interfaces with Senior Management, Compliance, and Trading, and is responsible for fulfilling all financial reporting requirements and inquiries as promulgated by the firm's various regulatory agencies (FINRA, SEC, etc.). When issues arise, he works with his team to bring about a quick and satisfactory resolution.
Previous Experience/Career Highlights:
Philip joined Shields & Company in 2002 as Chief Financial Officer and, in 2006 assumed the responsibilities of Chief Operations Officer of Shields & Co., Inc. When Shields & Co. merged with H.G. Wellington & Company in 2009, Phil's role expanded across the larger organization. Earlier in his career, Phil held various senior accounting positions at Josephthal & Co. Inc. (which was acquired by Fahnestock & Co. Inc.).
Education and Certifications:
Job Titles:
- Vice President at Brogan Equity Group Research
- VP - Brogan Group Equity Research
Rob is a Vice President at Brogan Equity Group Research (BGER), a division of Wellington Shields & Co. LLC. He has an expertise in money flow and relative performance analysis. BGER monitors and provides money flow & relative performance on the largest global database in existence. They work with institutional money managers who collectively manage over $2 trillion dollars in equities.
Job Titles:
- Wealth Advisor - Shelburne Falls
Steve Portas - Chief Compliance Officer, President
Job Titles:
- Chief Compliance Officer
- President
- Managing Director / Head of Fixed Income Trading - Herbst Wealth Management
- President and Chief Compliance Officer ( CCO ) of Wellington Shields & Co
Steve is the President and Chief Compliance Officer (CCO) of Wellington Shields & Co. LLC and Wellington Shields Capital Management. He joined Wellington as a Senior Vice President in Compliance in 2011 after serving as CCO of Midwood Securities, Inc. He was appointed CCO at Wellington in 2013 and named President in 2023.
Previous Experience/Career Highlights:
Job Titles:
- Registered Client Services Associate - Locust Valley
Susan joined Wellington Shields from B. Riley Wealth Management (formerly Wunderlich Securities, Inc.), but she worked at its predecessor firm, H D Brous & Co. Inc. as an Executive Sales Assistant since 1994.
Previous Experience/Career Highlights:
Job Titles:
- Chief Financial Officer
- Managing Member
- Managing Member, Financial Advisor, New York Office Branch Manager
Tim believes in a growth stock strategy. He works hard to come up with new ideas for his clients. He typically invests new money in companies whose earnings are expected to grow at an above-average rate compared to its industry or the overall market.
Previous Experience/Career Highlights:
Tim joined H.G Wellington, the predecessor firm to Wellington Shields & Co., in 1991 as the President and CEO. Following the merger with Shields and Company in 2009, he became Co-President of the combined companies until 2012 when he was named Vice Chairman of Wellington Shields Capital Management. During the period 1996-2006 he was also the President, CEO and Director of the Pax World Funds, the first socially responsible mutual fund group. Earlier, Tim was a Senior Partner at Fahnestock & Co. for 24 years during which he was Syndicate Manager in charge of both Investment Banking and Municipal Banking. For a period of time, Fahnestock was a division of Nesbitt Thomson a predecessor firm of Nesbitt Burns, based in Toronto, and Tim was recognized for his leadership skills there. Throughout his career, Tim has served on numerous boards including NASD (District 12) and was appointed Director of the Securities Investor Protection Corporation (SIPC) from 2003-2007. He was appointed to New York Area Firms Advisory Committee of the NYSE from 1994-1997 and chosen as a member of the Senior Governing Council of the Securities Industry Association (now SIFMA), from 1977-1979. Tim was a Sergeant in the US Army.
Education and Certifications:
University of North Carolina, BA
Job Titles:
- Managing Member
- SVP / Head of Business Development / Head of Institutional Research Sales - Dudack Research Group