Full text of WELLINGTON SHIELDS & CO., LLC's X-17A-5 filed 2022-03-01 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # WEWellington 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, 2021** **WITH REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM** {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** ## **ANNUAL REPORTS FORM X-17A-5 PART** Ill 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-68098 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING 01/0 | 1/<br>2021 | AND ENDING 12/31/2021 | | | | | |----------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|-----------------|----------------------------|--|--| | | MM/DD/YY | | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: Wellington Shields & Co., LLC | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>x<br>Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | D Major security-based swap participant | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 140 Broadway, 44th Floor | | | | | | | | | {No. and Street} | | | | | | | New York | NY | | | 10005 | | | | {City} | {State} | | | {Zip Code} | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | David V. Shields | 212-320-3018 | | | info@wellingtonshields.com | | | | {Name} | {Area Code -Telephone Number} | | {Email Address} | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | Marks Paneth LLP | | | | | | | | | {Name - if individual, state last, first, and middle name} | | | | | | | 685 Third Avenue | New York | | NY | 10017 | | | | {Address} | {City) | | {State} | {Zip Code} | | | | 10/20/2003 | | 709 | | | | | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independen…Read the full text as markdown