11/29/2023 | Press release | Distributed by Public on 11/29/2023 17:51
| Form X-17A-5 Filer Information |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL AUDITED REPORT Form X-17A-5 Part III FACING PAGE
Information Required of Brokers and Dealers Pursuant to Section 17 of the
Securities Exchange Act of 1934 and Rule 17a-5 Thereunder |
OMB APPROVAL |
|
FORM X-17A-5 |
OMB Number: 3235-0123 Estimated average burden hours per response: 12.00 |
| Filer CIK |
0001070092
|
| Filer CCC |
XXXXXXXX
|
| Is this a LIVE or TEST Filing? | LIVE TEST |
| Would you like a Return Copy? | |
| Is this an electronic copy of an official filing submitted in paper format? | |
| Confirming Copy File Number | |
Submission Contact Information |
|
| Name | |
| Phone | |
| E-Mail Address | |
| Notify via Filing Website only? |
| Report for the Period Beginning |
10-01-2022
|
| and Ending |
09-30-2023
|
| Type of Registrant | Broker-dealer |
| OTC derivatives dealer |
Material Weakness |
|
| Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses? | Yes No |
| Name of Broker-dealer |
STONEX FINANCIAL INC.
|
| Address 1 |
329 PARK AVENUE NORTH
|
| Address 2 |
SUITE 350
|
| City |
WINTER PARK
|
| State/Country |
FLORIDA
|
| Mailing Zip/ Portal Code |
32789
|
| Name |
STEVE PTASINSKI
|
| Telephone Number |
312-841-1000
|
| Name - if individual, state last, first, and middle name |
KPMG LLP
|
| Address 1 |
1000 WALNUT STREET
|
| City |
KANSAS CITY
|
| State/Country |
MISSOURI
|
| Mailing Zip/ Postal Code |
64106
|
| Check One |
Certified Public Accountant Certified Public Accountant not resident in United States or any of its possessions |
| Signature |
William J. Dunaway
|
| Title |
CHIEF FINANCIAL OFFICER
|
| Checking this box acknowledges that this oath or affirmation has been notarized. |