Full text of SMH CAPITAL INVESTMENTS LLC's X-17A-5 filed 2022-03-31 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### SMH CAPITAL INVESTMENTS LLC Report Pursuant to Rule 17a-5 of The Securities and Exchange Commission December 31, 2021 {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | 0MB APPROVAL | | |--------------------------|--| | 0MB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: 12 | | | | | | | SEC FILE NUMBER | | | |--|-----------------|---------|--| | | | | | | | | 8-24535 | | #### **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 | ____<br>__<br>0_l_/0_1_/2_1 | AND ENDING | ___<br>__<br>12_!_3_1/_2_1<br>_ | | |---------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------------|---------------------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM : | SMH Capital Investments LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Ix] Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | □ Security-based sw ap dealer | D M | ajor security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 4200 S. Hulen, Suite 534 | | | | | | | (No. and Street) | | | | | Ft. Worth | TX | | 76109 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT W ITH REGARD TO THIS FILING | | | | | | Dwayne Moyers | 817-569-7000 | | dwayne.moyers@smhca.com | | | (Name) | (Area Code - Telephone Number)<br>(Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT w hose reports are contained in this filing*<br>Tuttle & Bond, PLLC | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 2954 Goehmann Lane | Fredericksburg | TX | 78624 | | | (Address) | (City) | | (State)<br>(Zip Code) | | | 03/19/201<br>9 | | 6543 | | | | | FOR OFFICIAL USE ONLY | | I<br>(PCAOB Regis""''" N,<br>mbe,, if applirable) | | \* Claims for exemption from t he requirement that t he annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and c…Read the full text as markdown