Full text of STERLING SMITH CORPORATION's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Sterling Smith Corporation December 31, 2020 Financial Statements  {1}------------------------------------------------ **UNITED STATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31 , 2023 Estimated average burden hours per response ... . . . 12.00 # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** | | SEC FILE NUMBER | |---------|-----------------| | 8-48058 | | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING_ | _____<br>0""'l""'"/0"""I"'"' /2=0'--_ | AND ENDING _ | __<br>_ 1=2~/3~1~/2=0 _<br>_<br>_<br>_ _ | |--------------------------------------------------------------------------|---------------------------------------------------------------------|--------------------------|--------------------------------------------------| | | MM/DD/VY | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | Sterling Smith Corporation<br>NAME OF BROKER-DEALER: | | I<br>OEEICIAI IISE Q~I y | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM 1.0. NO. | | | | 4326A Scotland | | | | | (No. and Street) | | | | Houston | Texas | | 77007 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | Sterling R. Smith | | | {713) 861-6500<br>{Area Code - Telephone Number) | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | EEPB, P.C. | | | | | (Name - if individual, state last. first, middle name) | | | | | | | | | 2950 North Loop West, S ite #1200 | Houston | Texas | 77092 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | Certified Public Accountant | | | | | ~<br>Public Accountant | | | | | | Accountant not resident in United States or any of its possessions. | | | | □ | FOil OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | *\*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 f acts and circumstances relied on as the basis f or the exemption. See Section 240. / 7a-5(e)(2)* > Poten tial persons who are to respond to the collection of infor m ation contained in this form arc not required to…Read the full text as markdown