Full text of WELLINGTON SHIELDS & CO., LLC's X-17A-5/A 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 SUPPLEMENTARY 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-17 A-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/VY | MM/DD/V<br>Y | **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM: Wellington Shields & Co., LLC TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer D Security-based swap dealer □ Check here if respondent is also an OTC derivatives dealer D Major security-based swap participant 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-68098 # 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 | | | 10017 | |--------|-----------------------------------|-------------------------------------------------------------------------| | (City) | (State) | (Zip Code) | | | | | | | | I PCAOB Reg«tcat,oo Number, ,f applica ble] I | | | | | | | New York<br>FOR OFFICIAL USE ONLY | (Name - if individual, state last, first, and middle name)<br>NY<br>199 | \* 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.l 7a-5(e)(l)(ii), if applicable. Persons who are to respond to the collection of information conta…Read the full text as markdown