Full text of SMH CAPITAL INVESTMENTS LLC's X-17A-5 filed 2020-03-02 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Report Pursuant to Rule 17 a-5 of The Securities and Exchange Commission December 31, 2019 {1}------------------------------------------------ #### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | | 0MB APPROVAL | | |--------------------------|-----------------|-----------| | 0MB Number: | | 3235-0123 | | Expires: | August 31, 2020 | | | Estimated average burden | | | | Hours per respon e | | 12.00 | SEC FILE NUMBER 8- 24535 # 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** | AME OF BROKER-DEALER:<br>, MIi<br>apital In ·cstm nts LLC<br>ADDRESS OF PRINCIPAL PLAC OF BU INE | -----------<br>MM/DDNY<br>A. REGISTRANT IDENTIFICATION | | ------------<br>MM/0D/YY<br>OFFICI LUSE ONLY | |--------------------------------------------------------------------------------------------------|--------------------------------------------------------|---------|----------------------------------------------| | | | | | | | | | | | | | | FIRM I.D. NO. | | | (Do not use P.O. Box No.) | | | | 4200 S. II ulen<br>uitc 534 | | | | | | (No. and Street) | | | | TX<br>Ft. Worth | | | 76109 | | (State)<br>(City) | | | (Zip Code) | | AME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | Dwayne Mo. ·er | | | 817-569-7000 | | | | | (Area 'ode - Telephone Number) | | | B. ACCOUNTANT IDENTIFCATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion i contained in this Report* | | | | | Tuttle & Bond PLLC | | | | | (Name - if individual. state /ast.firsc. middle 11nme) | | | | | 1928 Ja kson Ln.<br>China | | TX | 76633 | | (Address)<br>(City) | | (State) | (ZipC<br>) | | | | | | | CBECKONE:<br>Certified Public Accountant<br>[8'J | | | | | D<br>Public Accountant | | | | | D<br>Accountant not r sident in United tate or any of its po se sions. | | | | | | 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 facts and circumstances relied on as the basis for 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 number.…Read the full text as markdown