Full text of SMH CAPITAL INVESTMENTS LLC's X-17A-5 filed 2021-03-31 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **Report Pursuant to Rule 17a-5 of The Securities and Exchange Commission December 31, 2020** {1}------------------------------------------------ | | | UN ITED STATES | | | |-------------------------------------------------------------------------------|----------------|---------------------------------------------------------------------------|-------------------------------|--------------------------------| | 0MB Number:<br>SECURJTIES AND EXCHANGE COMMISSION<br>Expires: | | | | 3235-0123<br>October 31 , 2023 | | Washington, D.C. 20549 | | | 1:stimated average burden | | | | | | | Hours per response<br>12.00 | | | | ANNUAL AUDITED REPORT | | SEC FILE NUMBER | | FORM X-17 A-5 | | | | | | | 8-<br>PART Ill | | | 24535 | | | | FACING PAGE | | | | | | Information Required of Brokers and Dealers Pursuant to Section 17 of the | | | | | | Securities Exchange Act of 1934 and Rule 17a-S Thereunder | | | | REPORT FOR THE PERIOD BEGINNlNG | | ----------<br>01/01/2020 | AND ENDING | ----------<br>12/31/2020 | | | | MM/DD/YY | - | MMIDD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: | | | | OFFICIAL USE ONLY | | SMH Capital Investments LLC | | | | FIRM I.D. NO. | | | | | | | | ADDRESS OF PRJNCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | 4200 S. Hulen, Suite 534 | | | | | | | | (No. and Street) | | | | Ft. Worth | | TX | | 76109 | | (Clly) | | (S1a1c) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO nos REPORT | | | | | | Dwayne Moyers | | 817-569-7000 | | | | | | | (Arca Code-Telephone: Number) | | | | | B. ACCOUNTANT IDENTIFCATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | | | | | | | Tuttle & Bond, PLLC<br>(Name - if indiwd11a/, state lost, first, muld/e name) | | | | | | 1928 Jackson Ln. | | China Spring | TX | 76633 | | (Address) | | (Ci1y) | (S1a1e) | (Z,p Code) | | CHECK ONE: | | | | | | Certified Pub! ic Accountant<br>C8J | | | | | | D<br>Public Accountant | | | | | | D | | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | 0 MB APPROVAL *\*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. I 7a-5(e)(2).* > **Potential persons who…Read the full text as markdown