Full text of SMITH, MOORE & CO.'s X-17A-5 filed 2021-02-25 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ STATEMENT OF FINANCIAL CONDITION WITH REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM **DECEMBER 31, 2020** {1}------------------------------------------------ PUBLIC **UNITED STATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** 0MB APPROVAL OMBNumber: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response ...... 12.00 SEC FILE NUMBER 8-27480 ### **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** **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 ___ 0_1 / | 0_1_/<br>_ | 2_0 ____ AND ENDING | 12_/_3_1_/<br>0 ___ _<br>2_ | |-------------------------------------------------------------------------------------------------------|-----------------------------------------------------------|---------------------|-----------------------------------| | | MMIDDIYY | | ___<br>MMIDDIYY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: | SMITH, MOORE & co. | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>7777 BONHOMME AVENUE, SUITE 2400 | | | FIRM I.D. NO. | | | (No. and Street) | | | | CLAYTON | MO | | 63105 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>AMY TOGNOZZI | | | (314) 446-1627 | | | | | (Area Code -<br>Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | HOLT & PATTERSON, LLC | | | | | | (Name -<br>if individual, state last, first, middle name) | | | | 260 CHESTERFIELD INDUSTRIAL BLVD. | CHESTERFIELD | MO | 63005 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE:<br>I✓ I<br>Certified Public Accountant<br>Public Accountant | | | | | B<br>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/acts and circumstances relied on as the basis/or the exemption. See Section 240.17a-5(e)(2)* > **Potential persons who are to respond to the collection of Information contained in this form are not required to respond unless the form displays a currently valid 0MB control numb…Read the full text as markdown