Full text of SWBC INVESTMENT SERVICES, LLC's X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### UNITEDSTATES SECURITIESANDEXCHANGE COMMISSION Washington,D.C. 20549 | CMB APPROVAL | | |--------------------------|----------------| | OMB Number: | 3235-0123 | | Expires: | August31, 2020 | | Estimated average burden | | | hours per response 12.00 | | # **ANNUAL AUDITED REPDRT FQHM** X-17A-" PART III | SEC FILE NUMBER | |-----------------| | 8-66764 | I **I** FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | AND ENDING 12/31/2019 | | | |---------------------------------|--|--| | MMIDD/YY | | | | | | | | OFFICIAL USE ONLY | | | | FIRm I.D. no. | | | | | | | | | | | | | | | | | | | | (Area Code -- Telephone Number) | | | | | | | | | | | | | | | | 78205 | | | | (Zip Code) | | | | | | | | | | | | | | | | | | | *\*Claims for eA'empz'ior1 f1'om the requif'eme12f that the annual report be covered by the opinion ofan independent public accozmiant must be supported by a staiemenl offocrs cmd circumsforrces relied on as the basis for the exemption. See Section 240.17a-5(e) (2)* SEC 1410 (11-05) Potential persons who are to respond to the collection of information contained In this form are not required to respond unlesstheformdisplaysacurrentlyvalld OMB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, John P. Tuohy , swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of SWBC Investment Services, LLC **9 as** **of** December **31 ,** 2019 **,** are true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as f`ollows: **l l b** \_.-.\_\_ \_\_ *as - \_* **15 --.-- 1-'e!!'--ala--l= 1;l-5l!II'!!= .|' -\*--;=§-\*--\* \* nu II `. \_ 2 \_** ` , Ma"ti'etat'\$t1%n (c) Statement of **Income** (Loss) or, if there is other comprehensive income in the period(s) presented, a Statement of Comprehensive Income (as defined in §210.l-02 of Regulation S-X). (d) Statement of Changes in Financial Condition. (e) Statement of Changes in Stockholders' Equity or Partners' or Sole Proprietors' Capital. (f) Statement of Changes **in** Liabilities Subordinated **to** Claims of Creditors. (g) Computation of Net Capital. **(h)** Computati…Read the full text as markdown