Year Joined Wellington Shields:

2022

Current:

Sandra is the Accounts Payable Manager for Wellington Shields & Co. LLC.

Previous Experience/Career Highlights:

Sandra joined Wellington Shields with over 13 years of experience in bookkeeping, accounts payables and receivables, as well as coordinating, planning, and support of daily operational and administrative functions.

Education and Certifications:

• Metropolitan College of New York, BBA – Phi Theta Kappa, Sigma Beta Delta, Magna Cum Laude
• Metropolitan College of New York, MBA
• Capella University, PhD-Business Management – Candidate

Other Interests and/or Affiliations:

Sandra is the proud wife of the Reverend James Moore of the Downtown Baptist Church and the New Testament Baptist Church. She loves spending time with her children and 8 grandchildren.

Year Joined Wellington Shields:

2022

Current:

Marshall is the Payroll & Benefits Manager for Wellington Shields & Co. LLC.

Previous Experience/Career Highlights:

Marshall joined Wellington Shields with over 20 years of experience in payroll processing and related areas such as budgeting for employee salaries, taxes, and benefit costs. Prior to joining Wellington Shields, Marshall was a Payroll Administrator for Midboro Management (First Service Residential after June 2021) and previously the Crohn’s and Colitis Foundation of America. He began his career as a Junior Accountant with FPA Medical Management.

Education and Certifications:

• John Jay College of Criminal Justice, BS – Computer Information Systems, 1994
• Kingsborough Community College of New York, AA – Liberal Arts, 1990
• Notary Public in New York State

Other Interests and/or Affiliations:

Marshall resides in Brooklyn with his wife. He enjoys playing softball on Sundays, and he has been the catcher on his team for many years.

Year joined Shields & Company:

1995

Current:

Frank manages the firm’s technology and telecom operations and the implementation of new IT systems, software and cybersecurity policies. He monitors the adequacy of IT resources for all users throughout the numerous branch offices, Herbst Wealth Management, Dudack Research Group, The Brogan Group, and remote work locations. He is a problem-solver and works quickly to resolve any technology or telecom issues that may arise.

Previous Experience/Career Highlights:

Frank has been with the firm since he began with Shields and Company in 1995. Prior to this, he worked at Johnson & Higgins in IT and he began his career at New York Telephone in 1992 in customer service.

Education and Certifications:

• University of Maryland, BS – Business Information Systems

Other Interests and/or Affiliations:

Golf, volleyball, cooking and eating.

Year joined Shields & Company:

1996

Current:

Veronica serves as the liaison between Wellington Shields and First Clearing, providing guidance and resolution of compliance and operational issues. She is the point person for the firm’s Anti-Money-Laundering audit, is responsible for its CRD filings, and presides over Firm Element and FINRA Regulatory Continuing Education programs. Employee training and scrutiny of required documentation are also among Veronica’s slate of daily and ongoing responsibilities. Member FINRA Continuing Education Content Committee.

Previous Experience/Career Highlights:

An assignment from a temp agency led to Veronica’s longstanding career with Wellington Shields. After learning the ropes as a Sales Assistant for multiple Registered Representatives, Veronica shifted to the Operations and Compliance side of the business.

Education and Certification:

• New Paltz High School, Graduate
• FINRA Licenses: Series 99

Other Interests and/or Affiliations:

• Member of FINRA Continuing Education Content Committee

Year joined H.G. Wellington:

1967

Current:

Client service is a high priority at Wellington Shields, Ralph utilizes his vast operational experience to make sure that things run smoothly behind the scenes for the best overall client experience.

Previous Experience/Career Highlights:

Ralph has been associated with Wellington Shields or its predecessor firms for 51 years as of June 2018. Ralph was all set to be a pharmacist, studying at Brooklyn College of Pharmacy when a family financial crisis compelled Ralph to seek employment on Wall Street and he made a career change. Ralph began his career in the operations area of Empire Trust which became The Bank of New York. Two years later he joined H.G. Wellington & Company as an Order Clerk. He remained with Wellington when they merged with McMullen & Hard in 1978, Stillman, Maynard & Co. in 1986 and Shields & Company in 2009. During most of that time most back office functions were manual and Ralph was the Head of P&S, Margins and Dividends. He also handled all the cage-related issues including receiving and delivering and transfers.

Other Interests and/or Affiliations:

Ralph enjoys gardening and spending time outdoors. He has a very close family and spends most of his free time with his wife and grandchildren.

Year joined Wellington Shields:

2015

Current:

Carol is the Executive Assistant to the Chief Executive Officer and ensures the needs of the office are met as the Office Operations Manager. She also provides ad hoc assistance to others and serves as the liaison between the office building’s management and Wellington Shields.

Previous Experience/Career Highlights:

With over 30 years of administrative experience, Carol brings to Wellington Shields a proficiency in various skills from the financial, non-profit, technology, legal and real estate fields.

Other Interests and/or Affiliations:

Carol is married, has five daughters, four grandchildren, and a mixed Terrier named Chloe. She is a sports enthusiast and plays in a competitive dart league. Carol enjoys writing, jigsaw puzzles, word games, poker and music. Giving back to her community is important and relevant. Carol has been involved in St. Pancras CYO sports as a girls’ basketball Coach, Volleyball Athletic Director, Basketball Clinic Director, Treasurer, an active Board Member and has helped with several fundraising initiatives.

“I am passionate in what I do and am driven to succeed. The smallest detail can make the biggest difference. Building relationships and rapport is essential to success. Therefore, client and employee interaction are always conducted with respect. I am not just an assistant; I am a partner working with you toward a common goal”.

Year joined Wellington Shields:

2014

Current:

Jeff is the Head Equity Trader at Herbst Wealth Management. Herbst Wealth Management manages assets for high net worth individuals and families as well as foundations and endowments.

Previous Experience/Career Highlights:

Various summer internships

Education and Certifications:

• Fordham University – Gabelli School of Business, BS – Finance & Marketing

Other Interests and/or Affiliations:

Jeff enjoys playing golf and basketball in his free time. He also likes traveling in Europe and cooking.

Year joined Wellington Shields:

2015

Current:

Anthony brings 35 years industry experience working for banking institutions providing guidance on operational, regulatory, and client on-boarding issues to investment advisor business units. As a Compliance Officer, he embraces the challenge of interpreting new regulations, writing corresponding WSP’s and disseminating those requirements to our staff.

Previous Experience/Career Highlights:

Anthony gained industry experience and forged his leadership skills at Royal Bank of Canada, JP Morgan, Bear Stearns, and AIG.

Education and Certifications:

• State University of New York, College at Fredonia, BA – Economics and Business Finance
• FINRA Licenses: Series 4, 7, 8, 24, 63, 65

Other Interests and/or Affiliations:

Anthony likes to keep active—hiking, bicycling, travelling and spending time at the beach. He is also an enthusiastic explorer of the neighborhoods within New York City and its surrounding areas.