Institutional Manager · CIK 0001506073

Wellington Shields & Co., LLC

NEW YORK, NY · File #028-14518

Latest AUM

$405.4M

Positions

321

Top-10 Concentration

53.3%

Filings

Portfolio Value Over Time

2024-03

2024-06

2024-09

2024-12

2025-03

2025-06

2025-09

2025-12

Biggest QoQ Changes

Ranked by conviction flow (share change × current price) so mark-to-market moves don't dominate. Price effect column shows how much of the $ change was just the stock moving.

Action	Issuer	Ticker / CUSIP	Δ Shares	Flow ($)	Price Effect
ADD	STATE STREET SPDR S&P 500 ETF	SPY	+2,356	+$1.6M	+$70,200
REDUCE	CHART INDUSTRIES	16115Q308	-7,354	-$1.5M	+$49,534
ADD	PROCTER & GAMBLE CO COM	742718109	+9,707	+$1.4M	-$64,357
ADD	EXXON MOBIL CORP COM	XOM	+9,332	+$1.1M	+$513,056
REDUCE	ROCKET LAB CORP COM	RKLB	-15,013	-$1.0M	+$1.6M
ADD	CONSTELLATION ENERGY CORP COM	CEG	+2,877	+$1.0M	+$165,831
ADD	MICROSOFT CORP COM	MSFT	+1,804	+$872,449	-$2.3M
NEW	TOAST INC CL A	TOST	+19,700	+$699,547	$0
NEW	TEMPUS AI INC CL A	TEM	+10,400	+$614,120	$0
REDUCE	ALPHABET INC CAP STK CL A	GOOG	-1,879	-$588,127	+$1.3M

Sector Allocation

24.9%$101.0M

12.1%$49.0M

9.6%$38.9M

7.6%$30.8M

4.0%$16.2M

Consumer Discretionary

3.0%$12.1M

Consumer Staples

2.9%$11.8M

Utilities

1.4%$5.8M

Materials

1.3%$5.3M

Communication Services

1.1%$4.5M

Real Estate

0.3%$1.2M

Filing History

Feb 9, 202613F HOLDINGS REPORTQ/E Dec 2025321 pos · $405.4M
Nov 5, 202513F HOLDINGS REPORTQ/E Sep 2025324 pos · $383.4M
Aug 5, 202513F HOLDINGS REPORTQ/E Jun 2025316 pos · $353.3M
May 8, 202513F HOLDINGS REPORTQ/E Mar 2025304 pos · $319.5M
Feb 10, 202513F HOLDINGS REPORTQ/E Dec 2024295 pos · $326.1M
Nov 13, 202413F HOLDINGS REPORTQ/E Sep 2024310 pos · $328.9M
Aug 7, 202413F HOLDINGS REPORTQ/E Jun 2024304 pos · $307.0M
May 23, 202413F HOLDINGS REPORT (Amended)Q/E Mar 2024304 pos · $298.3M
May 23, 202413F HOLDINGS REPORT (Amended)Q/E Mar 2024293 pos · $271.1M
May 23, 202413F HOLDINGS REPORT (Amended)Q/E Mar 2024293 pos · $271.1M
May 3, 202413F HOLDINGS REPORTQ/E Mar 2024304 pos · $298.6M
Nov 14, 202313F HOLDINGS REPORTQ/E Dec 2023289 pos · $399,955

Top 20 Holdings — Dec 2025

#	Issuer	Ticker	Shares	Value	% of Portfolio
1	MICROSOFT CORP COM	MSFT	69,990	$33.8M	12.19%
2	APPLE INC COM	AAPL	110,258	$30.0M	10.80%
3	JPMORGAN CHASE & CO COM	VYLD	47,531	$15.3M	5.52%
4	ELI LILLY & CO COM	LLY	12,977	$13.9M	5.02%
5	NVIDIA CORPORATION COM	NVDA	68,172	$12.7M	4.58%
6	ALPHABET INC CAP STK CL C	GOOG	35,538	$11.2M	4.02%
7	EXXON MOBIL CORP COM	XOM	76,928	$9.3M	3.33%
8	INTERNATIONAL BUSINESS MACHS COM	INTR	26,503	$7.9M	2.83%
9	ABBVIE INC COM	ABBV	30,817	$7.0M	2.54%
10	AMAZON COM INC COM	AMZN	30,236	$7.0M	2.51%
11	CATERPILLAR INC COM	CAT	9,417	$5.4M	1.94%
12	ALPHABET INC CAP STK CL A	GOOG	16,540	$5.2M	1.86%
13	BLACKSTONE INC COM	BX	33,301	$5.1M	1.85%
14	STATE STREET SPDR S&P 500 ETF	SPY	6,816	$4.6M	1.67%
15	VISA INC COM CL A	V	12,941	$4.5M	1.63%
16	BERKSHIRE HATHAWAY INC DEL CL B NEW	BRK-A	8,652	$4.3M	1.57%
17	BROADCOM INC COM	AVGO	12,167	$4.2M	1.52%
18	UNION PAC CORP COM	UNP	17,488	$4.0M	1.46%
19	ROCKET LAB CORP COM	RKLB	57,643	$4.0M	1.45%
20	WALMART INC COM	WMT	36,002	$4.0M	1.44%