Full text of STONECASTLE SECURITIES, LLC's X-17A-5/A filed 2020-09-30 (period 2019-12-31). 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 | OMB APPROVAL | | | | |---------------------------|--|--|--| | OMB Number:<br>3235-0123 | | | | | Expires: August 31, 2020 | | | | | Estimated average burden | | | | | hours oer resoonse 12.00 | | | | | ANNUAL AUDITED REPORT | |-----------------------| | FORM X-17A-5 | | PART Ill | | | SEC FILE NUMBER | |-----|-----------------| | 8 - | 66434 | # 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 | 01/01/19<br>~~~~~~~~~~~~- | AND ENDING | 12/31/19<br>-~~~~~~~~~~ | | | |---------------------------------------------------------------------------|---------------------------------------------------------|------------|------------------------------|--|--| | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROK.ER-DEALER: | | | | | | | StoneCastle Securities, LLC | OFFICIAL USE ONLY<br>FIRM ID. NO. | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | 152 West 57th Street, 35th Floor | | | | | | | | (No. and Street) | | | | | | New York | NY | 10019 | | | | | (City) | (State) | (Zip Code) | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | | Robert Holmen | | | 212-354-6500 | | | | | | | (Area Code -- Telephone No.) | | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | | WithumSmith+Brown PC | | | | | | | | (Name -- if individual, state last, first, middle name) | | | | | | 200 Jefferson Park Suite 400 | Whippany | New Jersey | 07981 | | | | (Address) | (City) | (State) | (Zip Code) | | | | CHECK ONE: | | | | | | | ~ Certified Public Accountant<br>0 Public Accountant | | | | | | | D Accountant not resident in United States or any of its possessions | | | | | | | | | | | | | | | FOR OFFICIAL 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 240.17 a-5(e)(2).* SEC 1410 (06-02) Potential persons who are to respond to the collection of information contained in this form are not requi…Read the full text as markdown