WELLINGTON SHIELDS & CO., LLC X-17A-5 (2026-03-30) — Broker-dealer annual report

Full text of WELLINGTON SHIELDS & CO., LLC's X-17A-5 filed 2026-03-30 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.

Company: WELLINGTON SHIELDS & CO., LLC
Form: X-17A-5
Filed: 2026-03-30
Period: 2025-12-31
Accession: 0001450943-26-000006
CIK: 1450943
File #: 8-68098
Type: Broker-dealer
Material weakness: No
Auditor: Wolf & Company, P.C.
Auditor location: Boston, MA
Contact: Philip Curcuru
Phone: 212-320-3032
Signed by: William J. McFadden (Chief Executive Officer)

Document text (excerpt)

{0}------------------------------------------------ ![](_page_0_Picture_0.jpeg) > STATEMENT OF FINANCIAL CONDITION AND SUPPLEMENTARY mFORMATION #### AS OF DECEMBER 31,2025 WITH REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COIV1MISSION 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-17A-5 PART 111 SEC FILE NUMBER | I<br>nf<br>i<br>R<br>i<br>d<br>P<br>R<br>at<br>t<br>t<br>or<br>m<br>on<br>e<br>re<br>ur<br>su<br>an<br>o | F<br>A<br>C<br>I<br>N<br>G<br>P<br>A<br>G<br>E<br>ul<br>nd<br>nd<br>h<br>1<br>7<br>5<br>,1<br>7<br>1<br>2<br>1<br>8<br>7<br>t<br>es<br>a-<br>a-<br>, a<br>a-<br>er<br>e<br>u | S<br>i<br>i<br>E<br>t<br>ec<br>ur<br>es<br>xc | h<br>A<br>f<br>1<br>9<br>3<br>4<br>ct<br>an<br>o | | | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------|-----------------------------------------------------------|--|--|--|--| | qu<br>ge<br>/<br>/<br>1<br>2<br>3<br>1<br>2<br>0<br>2<br>5<br>/<br>/<br>0<br>1<br>0<br>1<br>2<br>0<br>2<br>5<br>.A<br>N<br>D<br>E<br>N | | | | | | | | | G<br>G<br>O<br>O<br>G<br>F<br>I<br>L<br>I<br>N<br>F<br>R<br>T<br>H<br>E<br>P<br>E<br>R<br>I<br>D<br>B<br>E<br>I<br>N<br>N<br>I<br>N | D<b…

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