Roberta
Stafford

Wellington Shields & Co., LLC

CRD#865356
Investment Advisor
in New York, NY

Answer a few questions and
get matched with an advisor.

Find an Advisor

About this Advisor

Roberta Stafford is a financial advisor operating in New York, New York with a total of 12 years of industry experience. Stafford is currently employed by Wellington Shields & Co., LLC. They have worked at Wellington Shields & Co., Llc for the entirety of their career. Stafford maintains Series 63 and Series 65 licenses, certifying them as both a securities agent and an investment advisor representative, and is registered to operate in Connecticut, New Jersey and Pennsylvania. Wellington Shields & Co., LLC is a firm based in New York, NY. The company has offices in two locations and a total of 23 employees. It handles $383 million in assets among its 415 client accounts, making it one of the larger investment advisory firms in the nation by assets under management. Of its 415 accounts, 30% are associated with high-net-worth investors who have greater than $1 million in assets. The business offers portfolio management for individuals and small businesses. Fees charged by financial advisors typically depend on which services are offered. However, fees charged by Wellington Shields & Co., LLC most likely include asset-based and fixed fees.

Certifications and Registrations

Series 63, Series 65

Years Registered*

12 years

Services Offered

Portfolio management for individuals and/or small businesses

Fee Structure

Percentage of Assets, Fixed Fees

Office Location

140 Broadway Suite 4400
New York, NY 10005

Not sure which advisor is right for you? Use our matching tool.

Our matching tool simplifies the process of finding a financial advisor. To match you with top financial advisors nearby, we ask you a series of questions about your retirement plans, life status, investment goals and advisor preferences, which are all important topics to consider when choosing a financial advisor. Based on that information, we match you with financial advisors near you who suit your needs. Our matching tool has connected more individuals with financial advisors than any other service in the U.S. Click here to get matched with an advisor today.

Wellington Shields & Co., LLC Brokerage Details

Total Assets Under Management

$382,824,291

NY Average: $7,464,549,021
Total Number of Employees

23

NY Average: 88
Total Number of Accounts

415

NY Average: 3,892
Average Account Size

$922,468

NY Average: $1,917,921

Investment Advisory Services

  • Portfolio management for individuals and/or small businesses

Roberta Stafford Work History

Roberta has been registered as a financial advisor for 12 years.*

2011 - Present (13 years)

Wellington Shields & Co

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

Disclosures

Please visit the SEC profile of Roberta Stafford to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Wellington Shields & Co., LLC

James Fahey
Locust Valley, NY
Robert Oneal
Thomasville, GA
Roberta Stafford
New York, NY
Anthony Daprato
New York, NY
Mark Pankoff
New York, NY
Timothy Gaulin
Shelburne Falls, MA
Charles Thompson
New York, NY
Mark Sperry
New York, NY

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

The named financial professional and firm have not reviewed, approved, or endorsed this profile and are not responsible for its accuracy. Profile content is produced by SmartAsset independently of any business relationships that might exist between SmartAsset and the named financial professional and firm. Financial professionals and firms having business relationships with SmartAsset receive no special treatment or consideration in SmartAsset’s profiles.

This profile may include a firm or advisor that has a business relationship with SmartAsset, in which SmartAsset is compensated for lead referrals. SmartAsset is not a client of the aforementioned firms or advisors. SmartAsset did not receive compensation for including any of the firms or advisors in the aforementioned profile.

This page contains links to SmartAsset’s financial advisor matching tool, which may or may not match you with the advisor or firm mentioned in this profile. The matching tool does not include all available advisors and firms and matches based on specific criteria (investable assets, geography, and willingness to work with a remote advisor).

Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

Let us help match you with the right financial advisor for your needs.

Answer a few questions to get a personalized match.
Get started