Full text of STONEX FINANCIAL INC.'s X-17A-5 filed 2022-12-19 (period 2022-09-30). 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 September 30, 2022 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXOIANGE COMMISSION Washington, D.C. 20549 - 0MB APPROVAL I SEC FILE NUMBER-\_! 0MB Number: 3235-0123 Expires: October 31, 2023 j • ~;~;~~;;;~:,b~d.e1n2 00 •. **8-51269** # **ANNUAL AUDITED REPORT FORM X-17A-5 PART** Ill #### **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING | ____<br>l 0/.,.0_1/2.,.0.,2,.1<br>MM/DD/YY | ___<br>AND ENDING | ___<br>___<br>_<br>-'0""9"'/3"'0/2=02,.2.__<br>MM/DD/YY | |-------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------|-------------------|---------------------------------------------------------| | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: STONEX FINANCIAL INC. (CRD # 45993) | | | OFFICIAL USEONLY] | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | 329PARKAVENUENORTH SUITE350 | | | | | | (No. and Street) | | | | WINTERPARK<br>(City) | FLORIDA | 32789 | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>WILLIAMJ.DUNAWAY.CHIEFFINANCIALOFFICER | (State) | (Zip Code) | 816410-7129 | | | | | (Area Code - Telephone Number) | | INDEPENDENT PUBLIC Acco<br>KPMGLLP | N'IAN l whose opm10n 1s contamed m this Report*<br>(Name - if individual, state last, first, middle name) | | | | | | | | | 1000 WALNUT STREET | KANSASCITY | MISSOURI | 64106 | | (Address)<br>CHECK ONE: | (City) | (State) | (Zip Code) | | IBl<br>Certified Public Accountant | | | | | Public Accountant | | | | | Accountant not resident in United States or any of its possessions. | | | | | f | | | | | ___________ | | _________ | · _-_· __ ·_I | | | F_O_R_O_F_F_IC_I_A_L_U_S_E_._O_N_L_Y | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2)* > **Potential persons who are to respond to the collection of information contain…Read the full text as markdown