Full text of SHEA & COMPANY, LLC's X-17A-5 filed 2022-03-30 (period 2021-12-31). 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** # **ANNUAL REPORTS FORM X-17A-S PART** Ill 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-68319 **FACING PAGE Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **0 1/01 /21** MM/DD/YY AND ENDING **12/31 /21** MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAMEoF FIRM: Shea & Company, LLC TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer D Security-based swap dealer 0 Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 200 Clarendon Street, Floor 45 (No. and Street) Boston MA 02116 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Christopher Pingpank 617.896.2218 cpingpank@shea-co.com (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this fil ing\* Knight Rolleri Sheppard CPAS, LLP (Name - if individual, state last, first, and middle name) 2150 Post Road, 5th Floor Fairfield CT 06824 (Address) (City) (State) (Zip Code) 03/04/2009 3437 **FOR OFFICIAL USE ONLY** <sup>I</sup>**PCAOB Regimatioo N ,mbe,, if applicable)** I • 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-S(e)(l)(ii), if applicable. **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 0MB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, Christopher J. Pingpank | swear (or affirm) that, to the best of my knowledge and belief, the | |----------------------------------------------------------------|---------------------------------------------------------------------| | financial report pertaining to the firm of Shea & Company, LLC | , as of | 12/31 , 2~, is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any pr…Read the full text as markdown