Full text of STONELIVING SECURITIES, LLC's X-17A-5 filed 2019-05-28 (period 2019-03-31). 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 OMS APPROVAL OMB Number: 3235-0123 Expires: August 31,2020 Estimated average burden hours per response .. .... 12.00 SEC FILE NUMBER 8-68551 # **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>0_4_/_1/_1_8 ____ | AND ENDING | __ 0_3_/_3_1_/1_9 ____<br>_ | |---------------------------------------------------------------------------------------------|---------------------------------------------------------|---------------|--------------------------------| | | MM/00/YY | | MM/00/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: STONELIVING SECURITIES LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | 443 NORTH CLARK STREET, SUITE 200 | | | | | | (No. and Street) | | | | CHICAGO | IL | | 60654 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>STEPHEN J. MILES | | | 312·670-5900 | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | Plante Moran | | | | | | (Name - ifilldividual. state last. first, middle 11ame) | | | | 10 South Riverside Plaza, 9th Floor Chicago | | IL | 60606 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | I/' I<br>Certified Public Accountant | | | | | O<br>Public Accountant | | | | | D<br>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)* > Potential 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 OMB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, STEPHEN J. MILES | , swear (or affirm) that, to the best of | |------------------------------------------…Read the full text as markdown