Full text of SANDERS MORRIS HARRIS LLC's X-17A-5 filed 2022-03-10 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | 0MB APPROVAL | | |---------------------------|--| | 0MB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response:<br>12 | | | SEC FILE NUMBER | | # **ANNUAL REPORTS FORM X-17A-S** ## **PART Ill** **8-30325** **FACING PAGE** **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_/_0_1/_2_0_2_1 ___ AND ENDING __ 1_2"-/3_1:/_20_2_1 __ _ | | | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|---------|----------------------------------------------------------------|--|--|--| | | MM/DD/YY | | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM:<br>Sanders Morris Harris LLC | | | | | | | | lYPE OF REGISTRANT (check all applicable boxes):<br>□ Major security-based swap participant<br>□ Security-based swap dealer<br>Qt Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 600 Travis Street, Suite 5900 | | | | | | | | | (No. and Street) | | | | | | | Houston | TX | | 77002-3003 | | | | | (City) | (State) | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Stephen M. Mangold | 713-250-4222 | | steve.mangold@smhgroup.com | | | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>McBee & Co., PC | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 718 Paulus Avenue | Dallas | TX | 75214 | | | | | (Address) | (Cityl | (State) | (Zip Code) | | | | | l"<br>09/22/2009 | | 3631 | | | | | | of ,.,.nrntioa wfth PCAOB)llf applicable) | FOR OFFICIAL USE ONL V | | (PCAOB Reglstralioo N,mw, ff appllca~e)I | | | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on…Read the full text as markdown