Full text of WELLINGTON FUNDS DISTRIBUTORS INC.'s X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # Wellington Funds Distributors Inc. Statement of Financial Condition December 31, 2020 {1}------------------------------------------------ DocuSign Envelope ID: 8C38F217-544F-444D-9688-BBE77718CFCF UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III | OMB Number: | | 3235-0123 | |---------------------------|--|--------------------------| | Expires: October 31, 2023 | | | | Estimated average burden | | | | | | hours per response 12.00 | | | | | OMB APPROVAL | SEC FILE NUMBER | |-----------------| | 8-68476 | 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: Wellington Funds Distributors Inc. | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 280 Congress Street | | | | | | | (No. and Street) | | | | | | | | 02210 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Eugene Ferri | | | 1-617-790-7306 | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | PricewaterhouseCoopers LLP | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 101 Seaport Blvd | Boston | MA | 02210 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | Certified Public Accountant | | | | | | Public Accountant | | | | | | | | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | 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(c)(2) > Potential persons who are to respond to the collection of inf…Read the full text as markdown