Full text of WELLINGTON SHIELDS & CO., LLC's X-17A-5/A filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # II)~ Wellington Shields **WELLINGTON SHIELDS** & **CO., LLC (A Wholly Owned Subsidiary** of **Wellington Shields Holdings, LLC)** > **STATEMENT OF FINANCIAL CONDITION AND SUPPLEMENTARY INFORMATION** **FOR THE YEAR ENDED DECEMBER 31, 2020** **WITII REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM** {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0l 23 **Expires:** October 3 1, 2023 Estimated aver~ge burden hours per response ...... 12.00 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | | SEC FILE NUMBER | |----|-----------------| | 8- | 68098 | **FACING PAGE** Information Requfred 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>01/01/20<br>AND ENDING<br>- | | --------<br>12/31/20<br>-<br>-<br>- | | |---------------------------------------------------------------------------------------------|---------------------------------------------------------|---------|-------------------------------------|--| | | MMillDNY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: | WELLING'I'ON 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) | (Slate) | | (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 Nurnher) | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | | MARKS PANETH LLP | | | | | | (Name - ,f individual, slale last, ftr~I. middle n<1me) | | | | | 685 THIRD AVENUE | NEW YORK | NY | 10017 | | | (Address) | {City) | (State) | {Zip Code) | | | CHECK ONE: | | | | | | Gc<br>ertified Public Accountant | | | | | | •<br>Public Accountnnt | | | | | | •<br>Accountant not resident in United Stales or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption from* tlia *requirement* chm *the annual report be covered by the opinion of an independent public acco11111ant must be supportr:d by a statement of/acts…Read the full text as markdown