Full text of WELLINGTON SHIELDS & CO., LLC's X-17A-5 filed 2025-03-31 (period 2024-12-31). 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 31,2024 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 III | | 0MB APPROVAL | | | | |--------------------------|--|--|--| | 0MB Number: 3235-0123 | | | | | Expires: Nov. 30, 2026 | | | | | Estimated average burden | | | | | hours per response: 12 | | | | SEC FILE NUMBER | | FORM X-17A-5 | | | | | | | | | |------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------|----------------------------|--------------------------------------------|--|--|--|--|--|--| | | PART III | | | | | | | | | | FACING PAGE | | | | | | | | | | | Information Required Pursuant to Rules 17a-5,17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | | | | 12/31/2024<br>01/01/2024<br>AND ENDING<br>FILING FOR THE PERIOD BEGINNING | | | | | | | | | | | | MM/DD/YY | | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | NAME OF FIRM | ^Wellington Shields & Co., LLC | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Check here if respondent is also an OTC derivatives dealer | B Broker-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.) | | | | | | | | | | 60 Broad St., 39th Floor | | | | | | | | | | | | (No. and Street) | | | | | | | | | | New York | NY | | 10004 | | | | | | | | | (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) | | | | | | | | | | S. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | | * | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing | | | | | | | | | | Wolf & Company, P.C. | | | | | | | | | | | | (Name - if individual, state last, first, and middle name) | MA | 02109 | | | | | | | | 255 State Street | Boston | | | | | | | | | | (Address) | (City) | (State)<br>39…Read the full text as markdown