Full text of SMH CAPITAL INVESTMENTS LLC's X-17A-5 filed 2023-03-30 (period 2022-12-31). 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, 2022 {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:<br>12 | | | SEC FI LE 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>0_l/_0_1_/2_2 | ____<br>AND ENDING | ___<br>__<br>12_/_3_1/_22<br>_ | | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------|------------------------------------------------------------|--------------------------------|--------------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | SMH Capital Investments LLC<br>NAME OF FIRM: | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>lxl Broker-dealer<br>□ Security-based swap dealer<br>D Check here if respondent is also an OTC derivatives dealer | | □ Major 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 WITH REGARD TO THIS FILING | | | | | | | Dwayne Moyers | 817-569-7000 | | | dwayne.moyers@smhca.com | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Tuttle & Bond, PLLC | | {Name - if individual, state last, first, and middle name) | | | | | | | | | | | | 2954 Goehmann Lane<br>(Address) | Fredericksburg<br>{City) | | TX<br>(State) | 78624<br>(Zip Code) | | | | | | | | | | l"<br>03/19/2019 | | | 6543 | | | | of Registrn6oo wi<h PCAOBJ[if appllcableJ | FOR OFFICIAL USE ONLY | | | (PCAOB Reglst,atloo N,mbe,, if apphcableJI | | | • Claims for…Read the full text as markdown