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WELLINGTON SHIELDS & CO., LLC

Headquarter

Company Details

Name: WELLINGTON SHIELDS & CO., LLC
Jurisdiction: New York
Legal type: DOMESTIC LIMITED LIABILITY COMPANY
Status: Active
Date of registration: 29 Aug 2008 (17 years ago)
Entity Number: 3714787
ZIP code: 10005
County: New York
Place of Formation: New York
Address: 140 BROADWAY, 44TH FLOOR, NEW YORK, NY, United States, 10005

DOS Process Agent

Name Role Address
WELLINGTON SHIELDS & CO., LLC DOS Process Agent 140 BROADWAY, 44TH FLOOR, NEW YORK, NY, United States, 10005

Links between entities

Type:
Headquarter of
Company Number:
M09000004409
State:
FLORIDA

Central Index Key

A CIK (Central Index Key) number is a unique identifier assigned by the U.S. Securities and Exchange Commission (SEC) to companies that: Are publicly traded on U.S. stock exchanges, File reports with the SEC.

Note: Having a CIK number indicates that: The company is registered with the SEC, Files regular financial reports (like 10-K, 10-Q), Must comply with federal securities laws and regulations, Has public shareholders, Makes financial information publicly available through SEC's EDGAR database.

CIK number:
0001506073
Phone:
212-320-3000

Latest Filings

Form type:
13F-HR
File number:
028-14518
Filing date:
2025-05-08
File:
Form type:
13F-HR
File number:
028-14518
Filing date:
2025-02-10
File:
Form type:
13F-HR
File number:
028-14518
Filing date:
2024-11-13
File:
Form type:
13F-HR
File number:
028-14518
Filing date:
2024-08-07
File:
Form type:
13F-HR/A
File number:
028-14518
Filing date:
2024-05-23
File:

Legal Entity Identifier

LEI Number:
254900ULLOEJ3RYQ9S69

Registration Details:

Initial Registration Date:
2021-06-15
Next Renewal Date:
2025-04-15
Registration Status:
ISSUED
Validation Source:
FULLY_CORROBORATED

Form 5500 Series

Employer Identification Number (EIN):
263489406
Plan Year:
2023
Number Of Participants:
86
Sponsors Telephone Number:
Plan Year:
2022
Number Of Participants:
91
Sponsors Telephone Number:
Plan Year:
2021
Number Of Participants:
97
Sponsors Telephone Number:
Plan Year:
2020
Number Of Participants:
86
Sponsors Telephone Number:
Plan Year:
2019
Number Of Participants:
84
Sponsors Telephone Number:

History

Start date End date Type Value
2010-08-27 2024-08-06 Address 140 BROADWAY 44TH FLR, NEW YORK, NY, 10005, USA (Type of address: Service of Process)
2008-08-29 2010-08-27 Address 11 BROADWAY, SUITE 615, NEW YORK, NY, 10004, USA (Type of address: Service of Process)

Filings

Filing Number Date Filed Type Effective Date
240806000951 2024-08-06 BIENNIAL STATEMENT 2024-08-06
220928010126 2022-09-28 BIENNIAL STATEMENT 2022-08-01
200821060362 2020-08-21 BIENNIAL STATEMENT 2020-08-01
170317006192 2017-03-17 BIENNIAL STATEMENT 2016-08-01
140820006408 2014-08-20 BIENNIAL STATEMENT 2014-08-01

USAspending Awards / Financial Assistance

Date:
2020-04-15
Awarding Agency Name:
Small Business Administration
Transaction Description:
TO AID SMALL BUSINESSES IN MAINTAINING WORK FORCE DURING COVID-19 PANDEMIC.
Obligated Amount:
0.00
Face Value Of Loan:
1274785.00
Total Face Value Of Loan:
1274785.00

Paycheck Protection Program

Date Approved:
2020-04-15
Loan Status:
Paid in Full
SBA Guaranty Percentage:
100
Initial Approval Amount:
1274785
Current Approval Amount:
1274785
Race:
Unanswered
Ethnicity:
Unknown/NotStated
Gender:
Unanswered
Veteran:
Unanswered
Forgiveness Amount:
1288475.84

Court Cases

Court Case Summary

Filing Date:
2014-09-17
Status:
Terminated
Nature Of Judgment:
no monetary award
Jury Demand:
Plaintiff demands jury
Nature Of Suit:
Other Contract Actions

Parties

Party Name:
WELLINGTON SHIELDS & CO., LLC
Party Role:
Plaintiff
Party Name:
BREAKWATER INVESTMENT M,
Party Role:
Defendant

Date of last update: 28 Mar 2025

Sources: New York Secretary of State