# EDGAR Filing Document

**Accession Number:** 0000884857
**File Stem:** 9999999997-23-001556
**Filing Date:** 2023-2
**Character Count:** 1521
**Document Hash:** 71b4117935043528d2a59002c47f81f2
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**9999999997-23-001556.hdr.sgml**: 20230407

**ACCESSION NUMBER**: 9999999997-23-001556

**CONFORMED SUBMISSION TYPE**: X-17A-5

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230222

**DATE AS OF CHANGE**: 20230407

**EFFECTIVENESS DATE**: 20230222

**PERIOD START**: 20220101

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** SHIELDS & COMPANY, INC.
- **CENTRAL INDEX KEY:** 0000884857
- **IRS NUMBER:** 043118210
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** X-17A-5
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 008-44663
- **FILM NUMBER:** 23000618

**BUSINESS ADDRESS:**
- **STREET 1:** 890 WINTER STREET
- **STREET 2:** SUITE 160
- **CITY:** WALTHAM
- **STATE:** MA
- **ZIP:** 02451
- **BUSINESS PHONE:** 781-890-7033

**MAIL ADDRESS:**
- **STREET 1:** 890 WINTER STREET
- **STREET 2:** SUITE 160
- **CITY:** WALTHAM
- **STATE:** MA
- **ZIP:** 02451

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** SHIELDS SECURITIES, INC.
- **DATE OF NAME CHANGE:** 20021010

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** SHIELDS THOMAS J & CO INC /MA/                          /BD
- **DATE OF NAME CHANGE:** 19920828

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** SHIELDS SECURITIES INC                                  /BD
- **DATE OF NAME CHANGE:** 19920312

```

This document was generated as part of a paper submission.
Please reference the Document Control Number 23000618 for access to the original document.

```