Full text of STERLING SMITH CORPORATION's X-17A-5 filed 2023-02-16 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Sterling Smith Corporation December 31, 2022  {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 ### **ANNUAL REPORTS FORM X-17A-5 PART** Ill **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 **0 1/01 /22** AND ENDING **12/31 /22** --------- MM/DD/VY MM/DD/ Y Y 0MB APPROVAL 0MB Number: 3235-0123 > SEC FILE NUMBER 8-48058 **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: \_S\_te\_rl\_in\_.cg\_S\_m\_i\_th\_C\_o\_r\_p\_o\_ra\_t\_io\_n \_\_\_\_\_\_\_\_ \_ TYPE OF REGISTRANT (check all applicable boxes): C!J Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: {Do not use a P.O. box no.) # 4326A Scotland Street | Houston | Texas | | 77007 | |---------------------------------------------------------------------------|-----------------------------------------------------------------------|--------------------------------------------|-----------------------| | (City) | (State) | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Sterling R. Smith | (713) 861-6500 | | ssc@sscorporation.net | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | B. ACCOUNTANT IDENTIFICATION | | | | EEPB, P.C. | | | | | 2950 North Loop West, Suite #1200 | (Name - if individual, state last, first, and middle name)<br>Houston | Texas | | | (Address) | (City) | (State) | 77092<br>(Zip Code) | | November 5, 2003 | | 879 | | | rte of Reg;m,Mo w;th PCAOB)(;f appUcable) | | (PCAOB Reglst<at;oo Numbec, ;f appl;c,ble) | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(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, Sterling R. Smith swear (or affirm) that, to the best of my knowledge and belief, the fina…Read the full text as markdown