Stuart Frankel & Co. Inc.

12/16/2025 | Press release | Distributed by Public on 12/16/2025 12:45

Amendment to Information Required of Brokers and Dealers (Form X-17A-5/A)

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/A

OMB Number: 3235-0123

Estimated average burden hours per response: 12.00

X-17A-5/A: Filer Information

Filer CIK
0000038679
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?

X-17A-5/A: Submission Information

Report for the Period Beginning
10-31-2024
and Ending
09-30-2025
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
Please describe what information is being amended with this filing.
The report has been amended solely to include the executed signature page and an additional disclosure page. The audit opinion and all other content remain unchanged..

X-17A-5/A: A. Registrant Identification

Name of Broker-dealer
STUART FRANKEL & CO., Inc

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1
60 CUTTER MILL ROAD
Address 2
SUITE 210
City
GREAT NECK
State/Country
NEW YORK
Mailing Zip/ Portal Code
11021

Name and Telephone Number of Person to Contact in Regard to this Report

Name
Sharon Gaviria
Telephone Number
212-943-8787

X-17A-5/A: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name
MICHAEL COGLIANESE, CPA P.C.
Address 1
300 Tri State International
Address 2
Suite 180
City
Lincolnshire
State/Country
ILLINOIS
Mailing Zip/ Postal Code
60069
Check One Certified Public Accountant
Certified Public Accountant not resident in United States or any of its possessions

X-17A-5/A: Signature

Oath or Affirmation

I, Sharon Gaviria, swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of STUART FRANKEL & CO., Inc, as of 09-30-2025, 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 follows:
Signature
Sharon Gaviria
Title
Chief Financial Officer - Chief Compliance Officer

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.
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