The PAUSE Program lists entities that falsely claim to be registered, licensed, and/or located in the United States in their solicitation of investors. The PAUSE Program also lists entities that impersonate genuine U.S. registered securities firms as well as fictitious regulators, governmental agencies, or international organizations.
Wellington Capital Markets
[ Impersonators of Genuine Firms ]
440 S LaSalle, Suite 1711
Chicago, IL 60605
July 25, 2019
- Wellington Capital Markets is impersonating a formerly registered broker-dealer firm with the same name and address - Wellington Capital Markets, L.L.C. (CRD Number: 104937; SEC Number: 8-52963). The impersonator has NO connection with, and is not to be confused with, the genuine Wellington Capital Markets, L.L.C., which had its registration with the SEC cancelled on May 1, 2013 and is defunct.