Full text of SHEA & COMPANY, LLC's X-17A-5 filed 2024-04-01 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # Financial Statements Shea & Company, LLC December 31, 2023 {1}------------------------------------------------ **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: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-68319 | | FACING PAGE<br>Information Required Pursuanto Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | |---------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------|-----------------------|-------------------------------------------------------|--------------------------------------------|--| | FILING FOR THE PERIOD BEGINNING _o_1 | _to_1<br>12<br>_3<br>_<br>_____ | AND ENDING _ | 1<br>2<br>13_<br>1<br>12<br>_3<br>_<br>_<br>_<br>____ | | | | MM/DD/VY | | | MM/DD/VY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: Shea & Company LLC | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[!] Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | | | □ Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 111 Huntington Street, Floor 29 | | | | | | | | (No. and Street) | | | | | | Boston | MA | | | 02199 | | | (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 | | | | | | Rolleri & Sheppard CPAS, LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | (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 | | | | | l" | of R,g;,t,at;oo wUh PCAOB)l;f appHcable) FOR OFFICIAL USE ONLY | | | (PCAOB Reg;,t,at;oo N,mbe,, • applkable) 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 state…Read the full text as markdown