Full text of STERLING SMITH CORPORATION's X-17A-5 filed 2022-02-16 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Sterling Smith Corporation December 31, 2021 Financial Statements  {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 8-48058 **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 \_\_ 0\_1/\_0\_1\_/2\_1 \_\_\_\_ AND ENDING \_\_ 1\_2/\_3\_1\_/2\_1 \_ \_\_ \_ MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: Sterling Smith Corporation TYPE OF REGISTRANT (check all applicable boxes): Cd Broker-dealer □ Security-based swap dealer 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.) 4326A Scotland Street (No. and Street) Houston Texas (City) (Stat e) PERSON TO CONTACT WITH REGARD TO THIS FILING 77007 {Zip Code) Sterling R. Smith (713) 861-6500 ssc@sscorporation.net (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* EEPB, P.C. (Name - if individual, state last, first, and middle name) 2950 North Loop West, Suite #1200 Houston Texas 77092 (Address) (City) (State) (Zip Code) November 5, 2003 879 l" of R,g;stcatioo w;th PCAOB)(;f appllcablej **FOR OFFICIAL USE ONLY** (PCAOB Reg;,u,t;oo N,mbec, ;f apphcable) I • 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. See 17 CFR 240.17a-5(e)(l)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number. {2}------------------------------------------------ #### **OATH OR AFFIRMATION** | I,<br>Sterling R. Smith | swear (or affirm) that, to the best of my knowledge and belief, the | |--------------------------------------------|-----------------------------------------------------------------------------------| | financial report pertaining…Read the full text as markdown