Full text of WELLINGTON SHIELDS & CO., LLC's X-17A-5 filed 2023-03-01 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  > **STATEMENT OF FINANCIAL CONDITION AND SUPPLEMENT ARY INFORMATION** > > **AS OF DECEMBER 31, 2022** **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 > > **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 O 1 | /0<br>/2022<br>1 | AND ENDING 12/31/2022 | |-------------------------------------|------------------|-----------------------| | | MM/DD/YY | MM/DD/YY | **A. REGISTRANT IDENTIFICATION** # NAME or FIRM: Wellington Shields & Co., LLC TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer D Security-based swap dealer D Check here if respondent is also an OTC derivatives 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 | | | | | | | | William J. McFadden | 212-320-2012 | | info@wellingtonshields.com | | | | | (Name) | {Area Code -Telephone Number<br>) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | Mayer Hoffman McCann CPAs | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | 685 Third Avenue | New York | NY | 10017 | | | | (Address) 10/22/2003 (City) (State) 199 {Zip Code) **rte of Registration with PCA0B)l;f applicable) FOR OFFICIAL USE ONLY** <sup>I</sup>**PCAOB Registration Number, ;f , pplicable)** <sup>I</sup> \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5{e)(l)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the fo…Read the full text as markdown