Full text of STONEX FINANCIAL INC.'s X-17A-5 filed 2023-11-29 (period 2023-09-30). 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, 2023 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL AUDITED REPORT FORM X-17A-5 PART III | OMB APPROVAL | | | | | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--|--|--|--|--| | OMB Number: 3235-0123 | | | | | | | Expires: October 31, 2023 | | | | | | | Estimated average burden | | | | | | | . 12.00<br>hours per response<br>COTT CONTRICT CONSULTION CONSULTION CONSULTION CONSULTION CONCLUSION CONCLUSION CONCLUSION CONCLUSION CONCLUSION CONCLUSION CONCLUSION CONCLUSION CONCLUSION CONCLUSION CONCLU | | | | | | | | | | | | | | MAALETT A REPLACE FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR FOR<br>SEC FILE NUMBER | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--| | 8-51269 | | 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 | 10/01/2022 | AND ENDING | 09/30/2023 | | | | |---------------------------------------------------------------------|----------------------------------|--------------------------------------------------------------------------|---------------------------------------------------------------------------------------|--------------------------------|--|--|--| | | | 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 AVENUL NORTH, SUITE 350 | | | | | | | | | | (No. and Street) | | | | | | | | WINTER PARK | FLORIDA | 32789 | | | | | | | (City) | (State)<br>WILLIAM J, DUNAWAY, CHIEF FINANCIAL OFFICER | (Zip Code)<br>NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | 816-410-7129 | | | | | | | | | (Ar…Read the full text as markdown