Full text of STONECASTLE SECURITIES, LLC's X-17A-5 filed 2019-02-26 (period 2018-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours oer resoonse . .. 12.00 SEC FILE NUMBER **8** - **66434** | ANNUAL AUDITED REPORT | |-----------------------| | FORM X-17 A-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** | 01101/18 | AND ENDlNG | -----------<br>12131/18 | | | | | | | |--------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--|--|--|--|--|--| | -------------<br>MM/DD/YY | | MM/DD/YY | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | OFFlClAL USE ONLY | | | | | | | | StoneCastle Securities, LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | NY | | 10019 | | | | | | | | (State) | | (Zip Code) | | | | | | | | | | | | | | | | | | | | 212-354-6500 | | | | | | | | | | (Area Code•· Telephone No.) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Whippany | New Jersey | 07981 | | | | | | | | | | (Zip Code) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | {No. and Street)<br>(City)<br>D Accountant not resident in United States or any of its possessions | A. REGISTRANT IDENTIFICATION<br>NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>(Name - i( individual. state last, first, middle name)<br>(State)<br>!'OR OFFICJAL USE ONLY | | | | | | | *\*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).* SEC 14 IO (06-02) **Potential persons who are to respon…Read the full text as markdown