Full text of SANDERS MORRIS HARRIS LLC's X-17A-5 filed 2023-03-16 (period 2022-12-31). 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** **ANNUAL REPORTS FORM X-17 A-5 PART Ill** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER **8-38325** **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 01/01/2022 | MM/DD/YY | | AND ENDING 12/31/2022 | MM/DD/YY | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|---------|-----------------------------------------|-------------------------------|--| | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: Sanders Morris Harris LLC | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Security-based swap dealer<br>C1 Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | | | D Major security-based swap participant | | | | 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 | | | | | | | Steve Mangold | 713-250-4222 | | | steve. mangold@smhgrou p. com | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | McBee & Co., PC | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 718 Paulus Avenue<br>(Address) | Dallas<br>(City) | | TX<br>(State) | 75214<br>(Zip Code) | | | | | | | | | | 09/22/2009 | | | 3631 | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | FOR OFFICIAL USE ONLY | | | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. **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 number.** {1}------------------------------------…Read the full text as markdown