![Stephen J. Portas](data:image/svg+xml,<svg xmlns="http://www.w3.org/2000/svg" width="16" height="16" fill="%231b1b1b" class="bi bi-person-fill" viewBox="0 0 16 16"><path d="M3 14s-1 0-1-1 1-4 6-4 6 3 6 4-1 1-1 1zm5-6a3 3 0 1 0 0-6 3 3 0 0 0 0 6"/></svg>)
Profil
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.
Ehemalige bekannte Positionen von Stephen J. Portas
| Unternehmen | Position | Ende |
|---|---|---|
Midwood Securities, Inc.
 Midwood Securities, Inc. Investment Banks/BrokersFinance Provides brokerage services | Compliance Officer | 01.03.2011 |
Erfahrungen
Besetzte Positionen
Aktive
Inaktive
Börsennotierte Unternehmen
Private Unternehmen
Beziehungen
8
Beziehungen ersten Grades
1
Unternehmen ersten Grades
Herr
Frau
Aufsichtsräte
Führungskräfte
Unternehmensverbindungen
| Private Unternehmen | 1 |
|---|---|
Midwood Securities, Inc.
Midwood Securities, Inc. Investment Banks/BrokersFinance Provides brokerage services | Finance |
