12/16/2025 | Press release | Distributed by Public on 12/16/2025 12:45
| 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 |
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FORM X-17A-5/A |
OMB Number: 3235-0123 Estimated average burden hours per response: 12.00 |
| Filer CIK |
0000038679
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| Filer CCC |
XXXXXXXX
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| 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 |
10-31-2024
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| and Ending |
09-30-2025
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| 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..
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| Name of Broker-dealer |
STUART FRANKEL & CO., Inc
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| Address 1 |
60 CUTTER MILL ROAD
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| Address 2 |
SUITE 210
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| City |
GREAT NECK
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| State/Country |
NEW YORK
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| Mailing Zip/ Portal Code |
11021
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| Name |
Sharon Gaviria
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| Telephone Number |
212-943-8787
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| Name - if individual, state last, first, and middle name |
MICHAEL COGLIANESE, CPA P.C.
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| Address 1 |
300 Tri State International
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| Address 2 |
Suite 180
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| City |
Lincolnshire
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| State/Country |
ILLINOIS
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| Mailing Zip/ Postal Code |
60069
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| Check One |
Certified Public Accountant Certified Public Accountant not resident in United States or any of its possessions |
| Signature |
Sharon Gaviria
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| Title |
Chief Financial Officer - Chief Compliance Officer
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| Checking this box acknowledges that this oath or affirmation has been notarized. |