Full text of STUART FRANKEL & CO., Inc's X-17A-5/A filed 2025-12-16 (period 2025-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ OMB APPROVAL UNITED STATES OMB Number: 3235-0123 SECURITIES AND EXCHANGE COMMISSION Expires: Nov. 30, 2026 Washington, D.C. 20549 Estimated average burden hours per response: 12 ANNUAL REPORTS SEC FILE NUMBER FORM X-17A-5 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING 09/30/25 FILING FOR THE PERIOD BEGINNING\_10/01/24 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Stuart Frankel & Co., Incorporated TYPE OF REGISTRANT (check all applicable boxes): [] Broker-dealer ] Security-based swap dealer = [] 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 (Zip Code) (State) (City) PERSON TO CONTACT WITH REGARD TO THIS FILING 212-943-8787 Sharon Gaviria sharon@stuartfrankel.com (Email Address) (Name) (Area Code - Telephone Number) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Michael Coglianese CPA, P.C. (Name - if individual, state last, first, and middle name) = 60069 300 Tri State International, Ste 180 Lincolnshire (State) (Zip Code) (Address) (City) 3847 10/20/2009 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) FOR OFFICIAL USE ONLY · Claims for exemption from the requirement that the annual 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-5(e)(1)(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 valld OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION | Sharon Gavirla | | swear (or affirm) that, to the best of my knowledge and belief, the | |---------------------------------------------------------------------|-------|----------------------------------------------------------------------------------| | financial report pertaining to the firm of SluarlFrankel & Co. Inc. | | as of | | September 30 | 2 025 | is true and correct I further syear for affirm) that neither the company nor any | partner, officer, director, or equivalent person, as the ca…Read the full text as markdown