Full text of STONECASTLE SECURITIES, LLC's X-17A-5 filed 2026-02-26 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **PUBLIC** | | | | 0MB APPROVAL | | |---------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|----------------------|-------------------------------------------------------------------------------------------------------|--| | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, O.C. 20549 | | 0MB Number: 3235-0123<br>Expires: Nov. 30, 2026<br>Estimated average burden<br>hours per response: 12 | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | | 8-66434 | | | | | FORM X-17A-S<br>PART Ill | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934 | | | | | FILING FOR THE PERIOD BEGINNING 0 1/01 /25 | | AND ENDING 12/31 /25 | | | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME oF FIRM: StoneCastle Securities, LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[!] Broker-dealer<br>0 Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | | □ Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 152 West 57th Street 52nd Floor | | | | | | | (No. and Street) | | | | | New York | NY | | 10019 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Robert Holmen | 212-354-6500 | | rholmen@stonecastlesecurities.com | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | WithumSmith+Brown PC | | | | | | | (Name -if individual, state last, first, and middle name) | | | | | | 200 Jefferson Park Suite 400 Whippany | NJ | 07981 | | | (Address) | (City) | (State) | (Zip Code) | | | 01/08/2003<br>T" | | 100 | | | | | | | (PCAOB RegiSUation Nombe<, if ,,,k,ble) | | | of Regi,trntion with PCAOB)lif applicable) | FOR OFFICIAL USE ONLY | | | | Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number. {1}------------------------------------------------ ### OATH OR **AFFIRMATION** | I Robert…Read the full text as markdown