Full text of STUART FRANKEL & CO., INCORPORATED's X-17A-5 filed 2024-12-02 (period 2024-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **STUART FRANKEL & CO., INC.** FINANCIAL STATEMENTS FOR THE YEAR ENDED SEPTEMBER 30, 2024 **Non-Confidential** {1}------------------------------------------------ ### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17 A-5 PART Ill** SEC FILE NUMBER **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **10/01/2023** AND ENDING **09/30/2 <sup>0</sup> 24** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM: STUART FRANKEL & CO., INCORPORATED TYPE OF REGISTRANT (check all applicable boxes): D Broker-dealer D Security-based swap dealer D Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 60 CUTTER MILL ROAD Suite 210 | | | (No. and Street) | | | | |----------------------------------------------|-------------------------------|------------------------------------------------------------|-----------------|--------------------------|--| | GREAT NECK, | | New York | | 11021 | | | (City) | | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Sharon Gaviria | 212-943-8787 | | | sharon@stuartfrankel.com | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | Michael Coglianese CPA, P.C | | (Name - if individual, state last, first, and middle name) | | | | | 125 E Lake Street, Suite 303 Bloomingdale | | | IL | 60108 | | | (Address) | | (City) | (State) | (Zip Code) | | | 10/20/2009 | | | 3874 | | | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. **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.** {2}------------------------------------------------ ### OATH OR **AFFIRMATION** | | swear (or affirm) that, t…Read the full text as markdown