Full text of SMH CAPITAL INVESTMENTS LLC's X-17A-5 filed 2024-04-01 (period 2023-12-31). 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, 2023** {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: Nov. 30, 2026 | | | Estimated average burden | | | hours per response: 12 | | SEC FILE NUMBER **8-24535** **FACING PAGE** **Information Required Pursuant to Rules 17a-s, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING _________ | 01/01/23 | AND ENDING ________ | 12/31/23 | | |--------------------------------------------------|----------------------------------------------------------------------------------------------|---------------------|-----------------------------------------|--| | | MM/DD/VY | | _<br>MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: SMH Capital Investments LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | 0 Broker-dealer | D Security-based swap dealer<br>D 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.) | | | | | 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) | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Tuttle & Bond, PLLC | (Name - if individual, state last, first, and middle name) | | | | | | |------------------------------------------------------------|-----------------------|---------|------------|--|--| | 2954 Goehmann Lane | Fredericksburg | TX | 78624 | | | | (Address) | (City) | (State) | (Zip Code) | | | | T"<br>03/19/2019 | | 6543 | | | | | wtth PCAOBJ(;f appl•able)<br>ofR•g•tratioo | | | | | | | | FOR OFFICIAL USE ONLY | | | | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. S…Read the full text as markdown