Full text of SWBC INVESTMENT SERVICES, LLC's X-17A-5 filed 2019-02-28 (period 2018-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES OMB APPROVAL SECURITIESANDEXCHANGECOMMISSION OMB Number: 3235-0123 Washington, D.C. <sup>20549</sup> Expires: August 31, <sup>2020</sup> Estimated average burden # ANNUAL AUD'TED REPORT hoursperresponse...... 12.00 FORM X'17A'5 SEC FILE NUMBER PART III <sup>866764</sup> | SEC FILE NUMBER | |-----------------| | 100701 | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a~5 Thereunder | BEGINNING<br>REPORT<br>FOR<br>THE<br>PERIOD | 01/01/2018 | ENDING<br>AND | 2/31/20]<br>8<br>1<br>MMI'DDIYY | | | | |--------------------------------------------------------------------------------------------|------------------------------------------|-------------------------------|---------------------------------|-------------|--|--| | | MM/DD/YY | | | | | | | A. | REGISTRANT<br>IDENTIFICATION | | | | | | | NAME<br>OF<br>BROKER—DEALER:<br>SWBC | Services,<br>Investment | LLC | OFFtGlAL | USE<br>ONLY | | | | ADDRESS<br>OF<br>PRINCIPAL<br>PLACE<br>OF<br>BUSINESS: | (Do<br>No.)<br>Box<br>not<br>9.0.<br>use | | FIRM | ID.<br>NO | | | | San<br>9311 | Pedro,<br>Suite<br>600 | | | | | | | | (No.<br>Street)<br>and | | | | | | | Antonio<br>San | Texas | | 78216 | | | | | (City) | (State) | | (Zip<br>Code) | | | | | NAME<br>AND<br>TELEPHONE<br>NUMBER<br>OF<br>PERSON<br>(210)376-3481<br>Patrick<br>J. Muras | TO<br>CONTACT<br>IN | REGARD<br>TO<br>THIS | REPORT | | | | | | | | (Area<br>Code<br>Telephone<br>— | Number) | | | | B. | ACCOUNTANT | IDENTIFICATION | | | | | | PUBLIC<br>ACCOUNTANT<br>whose<br>INDEPENDENT | opinion<br>is<br>contained | in<br>this<br>Report" | | | | | | Ernst<br>& | Young<br>LLP | | | | | | | (Name | -ifIndividual,<br>state<br>lust, | first,<br>Hallie)<br>Irriddle | | | | | | 100<br>W.<br>Houston,<br>Suite<br>1700 | Antonio<br>San | Texas | | 78205 | | | | (Address) | (City) | (State) | (Zip | Code) | | | | CHECK<br>ONE: | | | | | | | | / Certified<br>Public<br>Accountant | | | | | | | | Public<br>Accountant | | | | | | | | Accountant<br>resident<br>in<br>United<br>not | of its<br>States<br>or any | possessions. | | | | | | FOR<br>OFFICIAL<br>USE<br>ONLY | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | \*Claimsfor exemptionfl'om the requirement that the annual report be covered by the opinion ofon independent public accountant must be supported by <sup>a</sup> statement of\_facts and circumstances relied…Read the full text as markdown