Full text of SHEA & COMPANY, LLC's X-17A-5 filed 2021-03-31 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | OMB APPROVAL | | | | | | | |-----------------------------------|----|-----------------|--|--|--|--| | OMB Number:<br>3235-0123. | | | | | | | | Expires:<br>October 31, 2023 | | | | | | | | Estimated average burden | | | | | | | | I<br>Hours per response<br>12.00. | | | | | | | | I | | | | | | | | | | SEC FILE NUMBER | | | | | | | 8- | Fl<br>68319 | | | | | | | | | | | | | | | | | | | | | # ANNUAL AUDITED REPORT FORM X-17A-5 # PART III **FACING PAGE** # **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING | 01/01/2020 | AND ENDING | 12/31/2020 | |-------------------------------------------------------------------------------|------------------------------|--------------|--------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: | | | OFFICIAL USE ONLY | | Shea & Company, LLC | | | FIRM I.D. NO. | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | 200 Clarendon Street, Floor 45 | | | | | | (No. and Street) | | | | Boston | MA | | 02116 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | Christopher J. Pingpank | | 617-896-2218 | | | | | | (Area Code – Telephone Number) | | | B. ACCOUNTANT IDENTIFCATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | Moody, Famiglietti & Andronico, LLP | | | | | (Name – if individual, state last, first, middle name) | | | | | 1 Highwood Drive | Tewksbury | MA | 01876 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | Certified Public Accountant<br>~ | | | | | Public Accountant | | | | | □<br>Accountant not resident in United States or any of its possessions.<br>□ | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2).* > **Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control…Read the full text as markdown