Full text of AMERANT INVESTMENTS, INC.'s X-17A-5 filed 2023-02-21 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ (A wholly owned subsidiary of Amerant Bank, **N.A.)** Financial Statements and Supplementary Information December 31, 2022 {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 | | | 12<br>hours per response: | | SEC FILE NUMBER | 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 O 1/01/2022 | AND ENDING 12/31/2022 | MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: Amerant Investments, Inc. TYPE OF REGISTRANT (check all applicable boxes): ~ 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.) # 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 | | | | | RSM US LLP<br>216 Summit Blvd #300 | (Name - if individual, state last, first, and middle name)<br>Birmingham | | Alabama 35243 | | | (Address) | (City) | (State) | (Zip Code) | | | r••<br>of R•Ost<aUoa w;th PCAOBJ(ff appUcaSeJ | FOR OFFICIAL USE ONLY | (PCAOB Reg;su,uoa N•mbec, ;f appUcab~J I | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public<br>accountant must be supported by a statement of facts and circumstances relied on as the basis…Read the full text as markdown