0001506073-21-000003.txt : 20210512
0001506073-21-000003.hdr.sgml : 20210512
20210512155145
ACCESSION NUMBER: 0001506073-21-000003
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20210331
FILED AS OF DATE: 20210512
DATE AS OF CHANGE: 20210512
EFFECTIVENESS DATE: 20210512
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Wellington Shields & Co., LLC
CENTRAL INDEX KEY: 0001506073
IRS NUMBER: 263489406
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14518
FILM NUMBER: 21914932
BUSINESS ADDRESS:
STREET 1: 140 BROADWAY
CITY: NEW YORK
STATE: NY
ZIP: 10005
BUSINESS PHONE: 212-320-3000
MAIL ADDRESS:
STREET 1: 140 BROADWAY
CITY: NEW YORK
STATE: NY
ZIP: 10005
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001506073
XXXXXXXX
03-31-2021
03-31-2021
Wellington Shields & Co., LLC
140 BROADWAY
NEW YORK
NY
10005
13F HOLDINGS REPORT
028-14518
N
Steve Portas
CCO
212-732-6800
Steve Portas
New York
NY
05-12-2021
0
201
279065
false
INFORMATION TABLE
2
wscQ1.xml
3M CO
COM
88579Y101
1091
5663
SH
SOLE
0
0
5663
ABBOTT LABORATORIES
COM
002824100
2888
24098
SH
SOLE
0
0
24098
ABBVIE INC.
COM
00287Y109
3304
30531
SH
SOLE
0
0
30531
ADOBE SYSTEMS
COM
00724F101
210
441
SH
SOLE
0
0
441
AES CORP
COM
00130H105
286
10686
SH
SOLE
0
0
10686
AFLAC INC.
COM
001055102
991
19356
SH
SOLE
0
0
19356
AGNICO EAGLE MINES LTD
COM
008474108
526
9100
SH
SOLE
0
0
9100
AIR LEASE CORP
COM
00912X302
309
6316
SH
SOLE
0
0
6316
ALIBABA GROUP HOLDING LTD
COM
01609W102
458
2020
SH
SOLE
0
0
2020
ALPHABET INC (A)
COM
02079K305
1714
831
SH
SOLE
0
0
831
ALPHABET INC-CL C
COM
02079K107
2304
1114
SH
SOLE
0
0
1114
ALTRIA GROUP INC
COM
02209S103
906
17704
SH
SOLE
0
0
17704
AMAZON.COM INC
COM
023135106
4100
1325
SH
SOLE
0
0
1325
AMERICAN EXPRESS CO
COM
025816109
1114
7875
SH
SOLE
0
0
7875
AMERICAN WTR WKS
COM
030420103
300
2000
SH
SOLE
0
0
2000
AMGEN
COM
031162100
991
3981
SH
SOLE
0
0
3981
APOLLO GLOBAL MANAGEMENT INC
COM
03768E105
312
6630
SH
SOLE
0
0
6630
APPHARVEST INC
COM
03783T103
3445
188242
SH
SOLE
0
0
188242
APPLE INC
COM
037833100
11452
93754
SH
SOLE
0
0
93754
APPLIED MATERIALS
COM
038222105
361
2700
SH
SOLE
0
0
2700
AQUA METALS, INC
COM
03837J101
130
32060
SH
SOLE
0
0
32060
ARCOSA INC
COM
039653100
275
4224
SH
SOLE
0
0
4224
ARMADA HOFFLER PROPERTIES INC
COM
04208T108
125
10000
SH
SOLE
0
0
10000
AT&T INC
COM
00206R102
3318
109618
SH
SOLE
0
0
109618
BAXTER INTERNATIONAL INC
COM
071813109
519
6150
SH
SOLE
0
0
6150
BECTON DICKINSON
COM
075887109
374
1540
SH
SOLE
0
0
1540
BERKSHIRE HATHAWAY INC. CLASS
COM
084670702
1252
4901
SH
SOLE
0
0
4901
BIOLASE INC
COM
090911207
8
10000
SH
SOLE
0
0
10000
BLACKROCK INC
COM
09247X101
655
869
SH
SOLE
0
0
869
BLACKSTONE GROUP INC.
COM
09260D107
2730
36626
SH
SOLE
0
0
36626
BLACKSTONE MORTGAGE TRUST INC
COM
09257W100
540
17420
SH
SOLE
0
0
17420
BLOOM EMERGY CORP
COM
093712107
3061
113156
SH
SOLE
0
0
113156
BOEING CO
COM
097023105
1217
4778
SH
SOLE
0
0
4778
BP PLC SPONS ADR
COM
055622104
472
19374
SH
SOLE
0
0
19374
BRISTOL-MYERS SQUIBB CO
COM
110122108
3082
48815
SH
SOLE
0
0
48815
BROADCOM LIMITED
COM
11135F101
603
1300
SH
SOLE
0
0
1300
CALIFORNIA WATER SEFICE GROUP
COM
130788102
282
5000
SH
SOLE
0
0
5000
CARLYLE GROUP INC
COM
14316J108
201
5476
SH
SOLE
0
0
5476
CARMAX INC.
COM
143130102
1604
12090
SH
SOLE
0
0
12090
CASI PHARMACEUTICALS INC
COM
14757U109
4399
1832769
SH
SOLE
0
0
1832769
CATERPILLAR
COM
149123101
2180
9400
SH
SOLE
0
0
9400
CENTENE CORP
COM
15135B101
543
8500
SH
SOLE
0
0
8500
CHEVRON CORPORATION
COM
166764100
1441
13756
SH
SOLE
0
0
13756
CIGNA CORP
COM
125523100
513
2122
SH
SOLE
0
0
2122
CISCO SYSTEMS
COM
17275R102
1632
31560
SH
SOLE
0
0
31560
CITIGROUP INC
COM
172967424
1552
21331
SH
SOLE
0
0
21331
CITIZENS FINANCIAL GROUP INC
COM
174610105
1501
34000
SH
SOLE
0
0
34000
CLOROX CO
COM
189054109
278
1443
SH
SOLE
0
0
1443
COASTAL CAR OIL & MINERALS
COM
190432203
0
32150
SH
SOLE
0
0
32150
COCA COLA
COM
191216100
958
18175
SH
SOLE
0
0
18175
COMCAST CORP
COM
20030N101
1715
31686
SH
SOLE
0
0
31686
COMPASS DIVERSIFIED HOLDINGS
COM
20451Q104
268
11570
SH
SOLE
0
0
11570
CONAGRA BRANDS INC
COM
205887102
234
6235
SH
SOLE
0
0
6235
CONOCOPHILLIPS
COM
20825C104
500
9431
SH
SOLE
0
0
9431
CONSTELLATION SOFTWARE
COM
21037X100
338
240
SH
SOLE
0
0
240
CORNING INC
COM
219350105
1159
26634
SH
SOLE
0
0
26634
COSTCO WHOLESALE
COM
22160K105
326
925
SH
SOLE
0
0
925
CSX CORP
COM
126408103
1070
11100
SH
SOLE
0
0
11100
CVS HEALTH CORPORATION
COM
126650100
3362
44689
SH
SOLE
0
0
44689
D T E ENERGY CO
COM
233331107
466
3500
SH
SOLE
0
0
3500
DEVON ENERGY
COM
25179M103
491
22459
SH
SOLE
0
0
22459
DIAGEO
COM
G42089113
430
10250
SH
SOLE
0
0
10250
DOMINION RES INC VA NEW
COM
25746U109
312
4108
SH
SOLE
0
0
4108
DOW INC
COM
260557103
1216
19014
SH
SOLE
0
0
19014
DRAFTKINGS INC
COM
26142R104
2364
38550
SH
SOLE
0
0
38550
DUKE ENERGY CORP
COM
26441C204
600
6212
SH
SOLE
0
0
6212
DUPONT DE NEMOURS
COM
26614N102
1225
15855
SH
SOLE
0
0
15855
EASTMAN CHEM CO
COM
277432100
644
5850
SH
SOLE
0
0
5850
EMERSON ELECTRIC COMPANY
COM
291011104
226
2500
SH
SOLE
0
0
2500
ENBRIDGE INC
COM
29250N105
954
26205
SH
SOLE
0
0
26205
ENCOMPASS HEALTH CORPORATION
COM
29261A100
1010
12330
SH
SOLE
0
0
12330
EOG RESOURCES
COM
26875P101
290
4000
SH
SOLE
0
0
4000
EPIZYME INC
COM
29428V108
2364
271390
SH
SOLE
0
0
271390
EQUIFAX INC
COM
294429105
1787
9866
SH
SOLE
0
0
9866
EVEREST REINSURANCE GROUP LTD
COM
G3223R108
273
1100
SH
SOLE
0
0
1100
EXXON MOBIL CORP
COM
30231G102
2364
42341
SH
SOLE
0
0
42341
FACEBOOK INC
COM
30303M102
998
3387
SH
SOLE
0
0
3387
FIDELITY NATIONAL INFORMATION
COM
31620M106
1765
12551
SH
SOLE
0
0
12551
FIRST HORIZON NATIONAL CORP
COM
320517105
507
30000
SH
SOLE
0
0
30000
FIRST SOLAR INC COM
COM
336433107
252
2888
SH
SOLE
0
0
2888
FIRST TRUST CAPITAL STRENGTH E
COM
33733E104
337
4758
SH
SOLE
0
0
4758
FIRST TRUST DJ INTERNET IDX
COM
33733E302
232
1066
SH
SOLE
0
0
1066
FIRST TRUST RISING DIVIDEND AC
COM
33738R506
449
9865
SH
SOLE
0
0
9865
FLOWERS FOODS INC
COM
343498101
548
23052
SH
SOLE
0
0
23052
FNF GROUP
COM
31620R303
307
7553
SH
SOLE
0
0
7553
FORD MOTOR COMPANY NEW
COM
345370860
138
11250
SH
SOLE
0
0
11250
FREEPORT MCMORAN INC
COM
35671D857
923
28030
SH
SOLE
0
0
28030
GAMESTOP
COM
36467W109
285
1500
SH
SOLE
0
0
1500
GENERAL ELECTRIC CO
COM
369604103
869
66178
SH
SOLE
0
0
66178
GENERAL MILLS INC
COM
370334104
914
14900
SH
SOLE
0
0
14900
GENERAL MOTORS CO
COM
37045V100
603
10500
SH
SOLE
0
0
10500
GEO GROUP INC
COM
36162J106
125
16050
SH
SOLE
0
0
16050
GILEAD SCIENCES INC.
COM
375558103
527
8154
SH
SOLE
0
0
8154
GLAXO SMITHKLINE PLC SPONS ADR
COM
37733W105
244
6833
SH
SOLE
0
0
6833
H P INC
COM
40434L105
362
11400
SH
SOLE
0
0
11400
HEWLETT PACKARD ENTERPRIS
COM
42824C109
183
11600
SH
SOLE
0
0
11600
HOME DEPOT INC
COM
437076102
800
2620
SH
SOLE
0
0
2620
HOME SOLUTIONS HEALTH INC
COM
43735N101
0
50000
SH
SOLE
0
0
50000
HONEYWELL INTERNATIONAL
COM
438516106
4539
20909
SH
SOLE
0
0
20909
ILLINOIS TOOL WORKS
COM
452308109
532
2400
SH
SOLE
0
0
2400
ILLUMINA INC
COM
452327109
23285
60629
SH
SOLE
0
0
60629
INSEEGO CORP
COM
45782B104
101
10075
SH
SOLE
0
0
10075
INTEL CORP
COM
458140100
2046
31965
SH
SOLE
0
0
31965
INTERNATIONAL BUSINESS MACHINE
COM
459200101
3607
27070
SH
SOLE
0
0
27070
INTERNATIONAL PAPER
COM
460146103
328
6060
SH
SOLE
0
0
6060
IRON MOUNTAIN INC REIT
COM
46284V101
500
13500
SH
SOLE
0
0
13500
ISHARES EDGE MSCI USA MOMENTUM
COM
46432F396
212
1315
SH
SOLE
0
0
1315
ISHARES RUSSELL 2000 INDEX
COM
464287655
221
1000
SH
SOLE
0
0
1000
ISHARES TIPS BOND ETF
COM
464287176
467
3719
SH
SOLE
0
0
3719
ISLET SCIENCES
COM
46467R109
0
30000
SH
SOLE
0
0
30000
JOHNSON & JOHNSON
COM
478160104
2428
14771
SH
SOLE
0
0
14771
JP MORGAN CHASE & CO
COM
46625H100
6150
40397
SH
SOLE
0
0
40397
KEYCORP
COM
493267108
1223
61200
SH
SOLE
0
0
61200
KIMBERLY CLARK CORP
COM
494368103
334
2400
SH
SOLE
0
0
2400
KINDER MORGAN INC
COM
49456B101
1790
107512
SH
SOLE
0
0
107512
KKR & CO INC
COM
48251W104
259
5300
SH
SOLE
0
0
5300
KRANESHARES ELEC VEHICLE & FUT
COM
500767827
286
6750
SH
SOLE
0
0
6750
L3HARRIS TECHNOLOGIES INC
COM
502431109
1399
6903
SH
SOLE
0
0
6903
LILLY ELI & CO
COM
532457108
2986
15986
SH
SOLE
0
0
15986
LOCKHEED MARTIN
COM
539830109
1325
3585
SH
SOLE
0
0
3585
LUMEN TECHNOLOGIES INC
COM
550241103
306
22955
SH
SOLE
0
0
22955
M&T BANK CORP
COM
55261F104
261
1723
SH
SOLE
0
0
1723
MANNKIND CORPORATION
COM
56400P706
73
18600
SH
SOLE
0
0
18600
MCDONALDS CORP
COM
580135101
467
2082
SH
SOLE
0
0
2082
MERCK & CO
COM
58933Y105
1913
24820
SH
SOLE
0
0
24820
METLIFE INC
COM
59156R108
380
6245
SH
SOLE
0
0
6245
MICROSOFT CORPORATION
COM
594918104
19992
84794
SH
SOLE
0
0
84794
MONDELEZ INTERNATIONAL
COM
609207105
618
10554
SH
SOLE
0
0
10554
MOSAIC CORP
COM
61945C103
256
8100
SH
SOLE
0
0
8100
MOTOROLA SOLUTIONS INC
COM
620076307
343
1824
SH
SOLE
0
0
1824
NAVIGATOR HOLDINGS
COM
Y62132108
133
15000
SH
SOLE
0
0
15000
NEWMONT MINING
COM
651639106
1440
23900
SH
SOLE
0
0
23900
NEXTERA ENERGY INC
COM
65339F101
1180
15600
SH
SOLE
0
0
15600
NORFOLK SOUTHERN
COM
655844108
644
2400
SH
SOLE
0
0
2400
NUCOR CORP
COM
670346105
225
2800
SH
SOLE
0
0
2800
NVIDIA
COM
67066G104
748
1400
SH
SOLE
0
0
1400
OCCIDENTAL PETROLEUM
COM
674599105
567
21300
SH
SOLE
0
0
21300
ONEOK INC
COM
682680103
903
17820
SH
SOLE
0
0
17820
ORACLE SYSTEMS
COM
68389X105
229
3257
SH
SOLE
0
0
3257
OVINTIV INC
COM
69047Q102
240
10073
SH
SOLE
0
0
10073
PARSONS CORP
COM
70202L102
1820
45000
SH
SOLE
0
0
45000
PAYPAL HOLDINGS INC
COM
70450Y103
583
2399
SH
SOLE
0
0
2399
PEOPLE'S UNITED FINANCIAL INC
COM
712704105
213
11900
SH
SOLE
0
0
11900
PEPSICO INC
COM
713448108
1279
9045
SH
SOLE
0
0
9045
PERSONALIS, INC
COM
71535D106
22653
920478
SH
SOLE
0
0
920478
PFIZER INC
COM
717081103
2767
76362
SH
SOLE
0
0
76362
PHILIP MORRIS INTERNAT
COM
718172109
1189
13400
SH
SOLE
0
0
13400
PIONEER NATURAL RESOURCES
COM
723787107
334
2100
SH
SOLE
0
0
2100
PNC FINANCIAL CORP
COM
693475105
1039
5926
SH
SOLE
0
0
5926
PRECIGEN INC
COM
74017N105
117
17000
SH
SOLE
0
0
17000
PROCTER & GAMBLE COMPANY
COM
742718109
1524
11252
SH
SOLE
0
0
11252
QUALCOMM INC
COM
747525103
504
3800
SH
SOLE
0
0
3800
RAYTHEON TECHNOLOGIES CORP
COM
75513E101
512
6632
SH
SOLE
0
0
6632
ROCKWELL AUTOMATION INC
COM
773903109
265
1000
SH
SOLE
0
0
1000
ROYALTY PHARMA PLC
COM
G7709Q104
4086
93670
SH
SOLE
0
0
93670
S&P GLOBAL INC
COM
78409V104
3141
8900
SH
SOLE
0
0
8900
SCHLUMBERGER LTD
COM
806857108
291
10700
SH
SOLE
0
0
10700
SCOTTS MIRACLE-GRO
COM
810186106
645
2635
SH
SOLE
0
0
2635
SEI INVESTMENTS COMPANY
COM
784117103
731
12000
SH
SOLE
0
0
12000
SENSIENT TECHNOLOGIES CORP
COM
81725t100
234
3000
SH
SOLE
0
0
3000
SHOPIFY INC
COM
82509L107
4758
4300
SH
SOLE
0
0
4300
SIMON PROPERTY GROUP INC REIT
COM
828806109
634
5570
SH
SOLE
0
0
5570
SOUTHERN CO
COM
842587107
1157
18619
SH
SOLE
0
0
18619
SPDR S&P BIOTECH
COM
78464A870
529
3900
SH
SOLE
0
0
3900
SPROTT INC NEW
COM
852066208
3002
79000
SH
SOLE
0
0
79000
STARBUCKS
COM
855244109
317
2899
SH
SOLE
0
0
2899
STERIS CORP
COM
G8473T100
362
1900
SH
SOLE
0
0
1900
STRATASYS LTD
COM
M85548101
570
22000
SH
SOLE
0
0
22000
SYSCO CORP
COM
871829107
324
4117
SH
SOLE
0
0
4117
TE CONNECTIVITY LTD
COM
h84989104
362
2800
SH
SOLE
0
0
2800
TECHNOLOGY SELECT SECTOR SPDR
COM
81369Y803
279
2100
SH
SOLE
0
0
2100
TEXAS PACIFIC LAND CORP
COM
882610108
238
150
SH
SOLE
0
0
150
THE KRAFT HEINZ COMPANY
COM
500754106
253
6322
SH
SOLE
0
0
6322
THE TRAVELERS COMPANIES INC
COM
89417E109
230
1526
SH
SOLE
0
0
1526
THERMO FISHER SCIENTIFIC
COM
883556102
438
960
SH
SOLE
0
0
960
THOMASVILLE BANCSHARES INC
COM
884608100
902
14094
SH
SOLE
0
0
14094
TPI COMPOSITES, INC.
COM
87266J104
417
7385
SH
SOLE
0
0
7385
TRANSOCEAN LTD
COM
H8817H100
167
46923
SH
SOLE
0
0
46923
TRINITY INDS INC.
COM
896522109
447
15700
SH
SOLE
0
0
15700
TRUIST FINANCIAL CORP
COM
89832Q109
219
3755
SH
SOLE
0
0
3755
TVA GROUP INC CL B
COM
872948203
36
19800
SH
SOLE
0
0
19800
UNIFI INC
COM
904677200
439
15917
SH
SOLE
0
0
15917
UNILEVER PLC SPONS ADR
COM
904767704
290
5200
SH
SOLE
0
0
5200
UNION PACIFIC
COM
907818108
3972
18020
SH
SOLE
0
0
18020
UNITED PARCEL SERVICE
COM
911312106
443
2605
SH
SOLE
0
0
2605
UNIVERSAL ELECTRONICS
COM
913483103
1557
28317
SH
SOLE
0
0
28317
VALERO ENERGY
COM
91913Y100
215
3000
SH
SOLE
0
0
3000
VERIZON COMMUNICATIONS INC
COM
92343V104
3186
54791
SH
SOLE
0
0
54791
VIACOM CBS INC
COM
92556H206
283
6284
SH
SOLE
0
0
6284
VISA INC
COM
92826C839
1807
8536
SH
SOLE
0
0
8536
VM WARE INC
COM
928563402
241
1600
SH
SOLE
0
0
1600
W.P. CAREY INC.
COM
92936U109
1325
18730
SH
SOLE
0
0
18730
WAL-MART STORES
COM
931142103
1182
8699
SH
SOLE
0
0
8699
WALT DISNEY CO/THE
COM
254687106
5176
28050
SH
SOLE
0
0
28050
WASTE MGT.
COM
94106L109
1443
11188
SH
SOLE
0
0
11188
WEST PHARMACEUTICALS SVCS INC
COM
955306105
564
2000
SH
SOLE
0
0
2000
WEYERHAEUSER CO
COM
962166104
1442
40504
SH
SOLE
0
0
40504
YUM BRANDS
COM
988498101
238
2200
SH
SOLE
0
0
2200
ZEBRA TECHNOLOGIES
COM
989207105
241
497
SH
SOLE
0
0
497
ZIMMER BIOMET HOLDINGS INC
COM
98956P102
256
1600
SH
SOLE
0
0
1600
ZOETIS INC
COM
98978V103
398
2527
SH
SOLE
0
0
2527