Full text of AMERANT INVESTMENTS, INC.'s X-17A-5 filed 2022-03-01 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # Amerant Investments, Inc. (A wholly owned subsidiary of Amerant Bank, **N.A.)** Financial Statements and Supplementary Information December 31, 2021 {1}------------------------------------------------ | UNITED STATES | | | |------------------------------------|--|--| | SECURITIES AND EXCHANGE COMMISSION | | | | Washington, D.C. 20549 | | | | 0MB APPROVAL | | |---------------------------|--| | 0MB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response:<br>12 | | # **ANNUAL REPORTS FORM X-17A-S PART Ill** SEC FILE NUMBER **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 | ___<br>__<br>0_1_/0_1_/_20_2_1 | ___<br>AND ENDING | __<br>12_/_31_/_20_2_1 | | | | |---------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|----------------------------------|--|--|--| | | MM/DD/VY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME OF FIRM: Amerant Investments, Inc. | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>C2t Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | D Major security-based swap participant | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 220 Alhambra Circle | | | | | | | | | (No. and Street) | | | | | | | Coral Gables | Florida | | 33134 | | | | | (City) | (State) | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Sergio Guerrero | (305) 629-5881 | | sguerrero@amerantinvestments.com | | | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing•<br>RSM US LLP | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 216 Summit Blvd #300 | Birmingham | Alabama | 35243 | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | l"<br>of R,g;,t,at;oo with PCAOB)Uf •~;cable) | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an…Read the full text as markdown