Full text of WELLINGTON SHIELDS & CO., LLC's X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # WELLINGTON SHIELDS & Co.LLC MEMBER NEW YORK STOCK EXCHANGE 140 Broadway New York, NY 10005 #### WELLINGTON SHIELDS & CO., LLC (A Wholly Owned Subsidiary of Wellington Shields Holdings, LLC) #### STATEMENT OF FINANCIAL CONDITION AND SUPPLEMENTARY INFORMATION #### DECEMBER 31, 2019 WITH REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** OMB APPROVAL OMB Number. 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ... .. . 12.00 | SEC FILE NUMBER | |-----------------| | | 8- 68098 FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING __ | ____<br>O_l_/_O_l/_1_9 _ | AND ENDING __ | l_2_/_3_1/_1_9 _<br>_<br>_<br>_<br>_ | |---------------------------------------------------------------------------------------------|---------------------------------------------------------------------|---------------|--------------------------------------| | | MMIDDIYY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: | WELLINGTON SHIELDS & CO. , | LLC | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 1.0. NO. | | | 140 BROADWAY, | 44TH FLOOR | | | | (No. and Street) | | | | NEW YORK | NY | 10005 | | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>DAVID V. SHIELDS | | | (.212)320-3000 | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | MARKS PANETH LLP | | | | | (Name - if individual, stale last,firsl, middle name) | | | | 685 THIRD AVENUE | NEW YORK | NY | 10017 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | W<br>Certif.ied Public Accountant | | | | | D<br>Public Accountant | | | | | | | | | | D | Accountant not resident in United States or any of its possessions. | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the…Read the full text as markdown