Full text of WELLINGTON SHIELDS & CO., LLC's X-17A-5 filed 2024-03-28 (period 2023-12-31). 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, 2023** **WITH REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM** {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 ### **ANNUAL REPORTS FORM X-17 A-5 PART Ill** | SEC FILE NUMBER | | |-----------------|--| | 8-68098 | | MM/DD/VY **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 1/01/2023** MM/DD/VY AND ENDING **12/31/2023 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) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | Wolf & Company | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>, P.C. | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 255 State Street | Boston | MA | 02109 | | | | (Address) | (City) | (State) | · (Zip Code) | | | | 10/14/2003 | | 392 | | | | | r<br>te of Registration with PCA0B)(if applicable) | | | (PCAOB Registration Number, if applicable) I | | | | | FOR OFFICIAL USE ONLY | | | | | • 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-S(e)(l)(ii), if applicable. Persons who are to respond to th…Read the full text as markdown