Full text of SHEA & COMPANY, LLC's X-17A-5 filed 2023-03-21 (period 2022-12-31). 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-17 A-5** | 0MB APPROVAL | | |--------------------------|----| | 0MB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: | 12 | | | | # **PART Ill** | SEC FILE NUMBER | | |-----------------|--| | 8-68319 | | #### **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING | __<br>____<br>0_l _l0_l_/2_2 | AND ENDING | ___<br>__<br>1_2/_3_1_/2_2<br>_ | | | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------------|---------------------------------|--|--|--| | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | Shea & Company, LLC<br>NAME OF FIRM: | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Major security-based swap participant<br>D Security-based swap dealer<br>lxl Broker-dealer<br>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 | | | | | | | | Chris 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*<br>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 PCAOB}(if applicable)<br>(PCAOB Registration Number, if applicable) | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | • Claims for exemption from the requirement that the annual reports be covered by the reports of a…Read the full text as markdown