Full text of STONEX FINANCIAL INC.'s X-17A-5 filed 2020-11-30 (period 2020-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **STONEX FINANCIAL INC.** (A Wholly Owned Subsidiary of StoneX Group Inc.) Statement of Financial Condition and Supplemental Information September 30, 2020 {1}------------------------------------------------ | OMB APPROVAL | | |--------------|--------------------------------------------------------------------------------------------------------| | | | | | | | | | | | . 12.00 | | | OMB Number: 3235-0123<br> Expires: October 31, 2023<br>Estimated average burden<br>hours per response | | ANNUAL AUDITED REPORT | | |-----------------------|--| | FORM X-17A-5 | | | PART III | | | | SEC FILE NUMBER | |--|-----------------| | | | | | REPORT FOR THE PERIOD BEGINNING | 10/01/2019 | AND ENDING | | 09/30/2020 | | |-------------------------------------------------------------------|--------------------------------------------------------------------------|---------------------------------------------------------------------|--------------------------------------------------------|------------|--------------------------------|--| | | | MM/DD/YY | | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF BROKER-DEALER: STONEX FINANCIAL INC. (CRD # 45993) | | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | | | | | 329 PARK AVENUE NORTH, SUITE 350 | | | | | | | | | (No. and Street) | | | | | | | WINTER PARK | FLORIDA | | 32789 | | | | | (City) | | | | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | (State) | | (Zip Code) | | | | | WILLIAM J. DUNAWAY, CHIEF FINANCIAL OFFICER | | | | 816-410-7129 | | | | | | | | (Area Code - Telephone Number) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report® | | | | | | | | KPMG LLP | | | | | | | | | | (Name - if individual, state last, first, middle name) | | | | | | | | | | | | | | 1000 WALNUT STREET | KANSAS CITY | | MISSOURI | 64106 | | | (Address) | | (City) | | (State) | (Zip Code) | | | CHECK ONE: | | | | | | | | × | Certified Public Accountant | | | | | | | | Public Accountant | | | | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | {2}------------------------------------------------ | | WILLIAM J. DUNAWAY | , swear (or affirm) that, to the best of…Read the full text as markdown