Full text of AMERANT INVESTMENTS, INC.'s X-17A-5 filed 2024-02-20 (period 2023-12-31). 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, 2023 This report is deemed CONFIDENTIAL in accordance with Rule 17a-5(e)(3) under the Securities Exchange Act of 1934. A statement of financial condition bound separately has been filed with the Securities and Exchange Commission simultaneously herewith as a PUBLIC document. {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: Nov. 30, 2026 | | Estimated average burden | | hours per response:<br>12 | | SEC FILE NUMBER | | |-----------------|--| | 8-53612 | | **FACING PAGE** **lnform~tion Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **O 1/01 /23** MM/DD/VY AND ENDING **12/31 /23** MM/DD/VY **A. REGISTRANT IDENTIFICATION** ## NAME oF FIRM: Amerant Investments, Inc. TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer □ Security-based swap dealer □ Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer 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 | | | | | (305) 629-5881<br>Sergio Guerrero | | sguerrero@amerantinvestments.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | RSM US LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | 30 South Wacker Drive, Suite 3300 Chicago | | Illinois<br>60606 | | | (Address) | (City) | | (State) | (Zip Code) | |-------------------------------------------------|-----------------------|----|---------|----------------------------------------------| | 09/23/2003 | | 49 | | | | (rte of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) I | |…Read the full text as markdown