Full text of STONELIVING SECURITIES, LLC's X-17A-5 filed 2020-05-27 (period 2020-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITTESAND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response .... . . 12.00 # **ANNUAL AUDITED REPORT FORM X-17A·5 PART Ill** | | SEC FILE NUMBER | |---------|-----------------| | | | | 8-68551 | | 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>___<br>0_4_f_0_1_f1_9 | AND ENDING | ____<br>__ 0_3_f_3_1<br>_f2_0<br>_ | |--------------------------------------------------------------------------|-------------------------------------------------------|---------------|-----------------------------------------------| | | MM/DD/YY | | MM/DD/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 1.0. 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 | | | | | STEPHEN J. MILES | | | 312·670-5900<br>(Area Code- Telephone Number) | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | Plante Moran | | | | | | (Name- if individual, slale las/, firs/, middle name) | | | | 10 South Riverside Plaza, 9th Floor Chicago | | IL | 60606 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | lflcertified Public Accountant | | | | | OPublic Accountant | | | | | Accountant not resident in United States or any of its possessions.<br>D | | | | | | 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. 1 7a-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 | | _____________________<br>, swear (or affirm) that, to the bes…Read the full text as markdown