Full text of SMH CAPITAL INVESTMENTS LLC's X-17A-5 filed 2025-04-04 (period 2024-12-31). 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, 2024** {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** > **ANNUAL REPORTS FORM X-17A-5** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **PART** Ill 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 ________<br>NAME OF FIRM: SMH Capital Investments LLC<br>TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>D Security-based swap dealer<br>D Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | MM/DD/YY<br>A. REGISTRANT IDENTIFICATION | AND ENDING ________<br>_<br>MM/DD/YY<br>D Major security-based swap participant | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------|---------------------------------------------------------------------------------| | | | | | | | | | | | | | | | | | | | | | 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-<br>7000 | dwayne.moyers@smhca.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | Tuttle & Bond, PLLC | (Name - if individual, state last, first, and middle name) | | | | | |------------------------------------------------------------------------------------------------------------------------|-----------------------|---------|------------|--| | 2954 Goehmann Lane | Fredericksburg | TX | 78624 | | | (Address) | (City) | (State) | (Zip Code) | | | 03/19/2019 | | | | | | | | | | | | | 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 suppo…Read the full text as markdown