Full text of SMITH, MOORE & CO.'s X-17A-5 filed 2022-02-23 (period 2021-12-31). 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, 2021** {1}------------------------------------------------ | PUBLIC | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | OMB APPROVAL<br>OMB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response: 12 | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-------------------------------------------------------------------------------|------------|-----------------------------------------------------------------------------------------------------------------------|--|--| | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | | | FORM X-17A-5 | | 8-27480 | | | | | | PART III | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | FILING FOR THE PERIOD BEGINNING | 01/01/21 | MM/DD/YY | AND ENDING | 12/31/21<br>MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | | | | NAME OF FIRM: SMITH, MOORE & CO. | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>2 Broker-dealer<br>_ Security-based swap dealer<br>Ll Major security-based swap participant<br>Check here if respondent is also an OTC derivatives dealer | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 7777 BONHOMME AVENUE, SUITE 2400 | | | | | | | | | | (No. and Street) | | | | | | CLAYTON | | MO | | 63105 | | | | (City) | | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | AMY TOGNOZZI | (314) 446-1627 | | | atognozzi@smithmoore.com | | | | (Name) | | (Area Code - Telephone Number) | | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | HOLT & PATTERSON, LLC | | | | | | | | 260 CHESTERFIELD INDUSTRIAL BLVD. CHESTERFIELD MO | (Name - if individual, state last, first, and middle name) | | | 63005 | | | | (Address) | (City) | | (State) | (Zip Code) | | | | 02/24/09 | | | 3372 | | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Re…Read the full text as markdown