Full text of SHEA & COMPANY, LLC's X-17A-5/A filed 2022-04-07 (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-5 PART Ill FACING PAGE 0MB Number: 3235•0123 Expires: Oct. 31, 2023 Estimated averase burden hours per response: 12 SEC FILE NUMBER 8-68319 Information Required Pursuant to Rules 17a-5, 17a-12, and 18a•7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING **0 1/01 /21** MM/00/VY ANO ENDING **12/31 /21** MM/00/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: Shea & Company, LLC TYPE OF REGISTRANT (check all applicable boxes): l!l Broker-dealer D Security-based swap dealer D 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 Streel) 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 filing• 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 (Date of Registration with PCAOBl(if applicable) (PCAOB Registralion Number. If applicable) **FOR OFFICIAL USE ONLY** • Claims for exemption from the requirement thal 1he annual reports be covered by the reports of an independent public accountant must be supported by a statemen1 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 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 | | _1_2_/_3_1 __________ _, 2~, | is true and correct. I further swear (or affirm ) that neither the company nor any | partner, officer, director, or equivalen…Read the full text as markdown