Full text of SWBC INVESTMENT SERVICES, LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 323S-0123 Expires: October 31, 2023 Estimated average burden hours oer resoonse ...... 12.00 SEC FILE NUMBER 8-66764 ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** #### **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING 01/01/2020 | | AND ENDING 12/31/2020 | | |-----------------------------------------------------------------------------------------------------------|-------------------------------------------------------|-----------------------|--------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: SWBC Investment Services, LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | 9311 San Pedro Avenue, Suite 600 | | | | | | (No. and Street) | | | | San Antonio | Texas | | 78216 | | (City) | (State) | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Patrick J. Muras (210)376-3481 | | | | | | | | (Arca Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | PricewaterhouseCoopers LLP | | | | | | (Name - ifindil'idual, state lasl,firsl, middle name) | | | | 106 Jefferson Street | San Antonio | Texas | 78205 | | (Address) | (City) | (Slate) | (Zip Code) | | CHECK ONE: | | | | | J ✓ I<br>Certified Public Accountant | | | | | Public Accountant | | | | | B<br>Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | *\*Claims.for exemption Ji-om the requirement that the annual report be covered by the opinion of an independent public accountant musr be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. l 7a-5(e)(2)* > **Potential persons who are to respond to the collection of information contained in this form are not required to respond** unless the form displays a currently valid 0MB control number. SEC 1410 (11-05) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | r, John P. Tuohy | , swear ( or affirm) that, to the best of | |------…Read the full text as markdown