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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLCCRD Number: 150529Annual Amendment

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Who needs brokercheck report - wellington?

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Investors who are interested in verifying the credentials and regulatory history of Wellington

02

Regulatory agencies or employers who need to conduct background checks on Wellington

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What is brokercheck report - wellington?

The brokercheck report - Wellington is a report that provides information about a broker's professional background and qualifications.

Who is required to file brokercheck report - wellington?

Brokers and financial professionals in the Wellington area are required to file a brokercheck report.

How to fill out brokercheck report - wellington?

To fill out a brokercheck report in Wellington, individuals must provide personal and professional information, including employment history, qualifications, and any disclosures.

What is the purpose of brokercheck report - wellington?

The purpose of a brokercheck report in Wellington is to provide transparency and help investors make informed decisions about working with a particular broker or financial professional.

What information must be reported on brokercheck report - wellington?

Information that must be reported on a brokercheck report in Wellington includes employment history, qualifications, any disciplinary actions, and disclosures of any complaints or legal issues.

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