Compliance Associate

0001506071-13-000002.txt : 20131115 0001506071-13-000002.hdr.sgml : 20131115 20131115113116 ACCESSION NUMBER: 0001506071-13-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130930 FILED AS OF DATE: 20131115 DATE AS OF CHANGE: 20131115 EFFECTIVENESS DATE: 20131115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Wellington Shields Capital Management, LLC CENTRAL INDEX KEY: 0001506071 IRS NUMBER: 263489334 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14047 FILM NUMBER: 131222958 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 true false 0001506071 XXXXXXXX 09-30-2013 09-30-2013 Wellington Shields Capital Management, LLC

140 BROADWAY NEW YORK NY 10005

13F HOLDINGS REPORT 028-14047 N Theodore L. Knoop Compliance Associate 212-320-2025 Ted Knoop New York NY 11-15-2013 0 335 554251 false INFORMATION TABLE 2 WSCM.XML WSCM 09302013 13F SUBMISSION AES TRUST III CV 6.75% PRD 00808N202 281 5585.00 SH SOLE 0 0 5585.00 CITIGROUP CAPITAL IX PRD 173066200 245 9800.00 SH SOLE 0 0 9800.00 FIRST REPUBLIC BANK 5.625 PREF PRD 33616C605 454 22300.00 SH SOLE 0 0 22300.00 GOLDMAN SACHS 5.95% PFD SER I PRD 38145G209 466 20700.00 SH SOLE 0 0 20700.00 JPMORGAN CHASE 5.5% PFD PRD 48126E750 457 21250.00 SH SOLE 0 0 21250.00 KIMCO REALTY CORP PRD 49446R778 249 12600.00 SH SOLE 0 0 12600.00 NUVEEN MUNI VALUE FUND PRD nuv 645 70650.00 SH SOLE 0 0 70650.00 VORNADO REALTY TRUST 5.7% PFD PRD 929042851 260 12500.00 SH SOLE 0 0 12500.00 3-D SYSTEMS CORP COM 88554D205 1745 32329 SH SOLE 0 0 32329 3M COMPANY COM 88579Y101 2061 17260 SH SOLE 0 0 17260 ABB LIMITED SPONS ADR COM 000375204 307 13000 SH SOLE 0 0 13000 ABBOTT LABS COM 002824100 1313 39561 SH SOLE 0 0 39561 ABBVIE INC COM 00287Y109 1874 41902 SH SOLE 0 0 41902 ACCENTURE LTD COM g1151c101 909 12350 SH SOLE 0 0 12350 ACE LTD. 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