Perfil
Mr. Stephen J.
Portas is Chief Compliance Officer at Wellington Shields & Co. LLC.
Prior to joining Wellington in March 2011, Mr. Portas was a Chief Operating Officer & Compliance Officer at Midwood Securities, Inc. He joined the firm in 1992.
He has served on the firm’s trading desk and was responsible for reviewing the activities of the firm’s traders and related personnel operating through the New York City and Freehold, New Jersey desks.
He was also responsible for insuring compliance with NYSE, FINRA and SEC rules and regulations, overseeing Midwood’s operations department, and acting as the contact between Midwood and its clearing partners.
Antiguos cargos conocidos de Stephen J. Portas.
| Empresas | Cargo | Fin |
|---|---|---|
Midwood Securities, Inc.
 Midwood Securities, Inc. Investment Banks/BrokersFinance Founded in 1988, Midwood Securities, Inc. is a broker/dealer located in New York City. The firm provides an array of trading and execution services for institutional clients. They do not provide any internal research. Midwood Securities' products and services include: (1) execution of NYSE and NASDAQ traded shares (2) authoritative, independent, third-party research and analytical tools (3) effective, customized commission recapture programs and (4) quality clearing and support services. The firm provides authoritative, independent, third-party research and an extensive array of analytical tools. These independent research providers' specializations include: (1) fundamental, quantitative and technical analysis (2) arbitrage research tools (3) interest rate analysis (4) fund and portfolio performance (5) execution-cost analysis (6) top-down/bottom-up strategies (7) trading platforms (8) established marketplaces and emerging markets (9) legislative/regulatory prospects and (10) political analysis. Dudack Research Group is a division of Midwood Securities. Dudack provides economic, fundamental, quantitative and technical strategies and tools for institutional money managers. Midwood Securities clears their trades through First Clearing LLC, a guaranteed wholly-owned subsidiary of Wells Fargo. | Oficial de Cumplimiento | 01/03/2011 |
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Relaciones de 1er grado
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Empresas relacionadas
| Empresas privadas | 1 |
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Midwood Securities, Inc.
Midwood Securities, Inc. Investment Banks/BrokersFinance Founded in 1988, Midwood Securities, Inc. is a broker/dealer located in New York City. The firm provides an array of trading and execution services for institutional clients. They do not provide any internal research. Midwood Securities' products and services include: (1) execution of NYSE and NASDAQ traded shares (2) authoritative, independent, third-party research and analytical tools (3) effective, customized commission recapture programs and (4) quality clearing and support services. The firm provides authoritative, independent, third-party research and an extensive array of analytical tools. These independent research providers' specializations include: (1) fundamental, quantitative and technical analysis (2) arbitrage research tools (3) interest rate analysis (4) fund and portfolio performance (5) execution-cost analysis (6) top-down/bottom-up strategies (7) trading platforms (8) established marketplaces and emerging markets (9) legislative/regulatory prospects and (10) political analysis. Dudack Research Group is a division of Midwood Securities. Dudack provides economic, fundamental, quantitative and technical strategies and tools for institutional money managers. Midwood Securities clears their trades through First Clearing LLC, a guaranteed wholly-owned subsidiary of Wells Fargo. | Finance |
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