Full text of STONELIVING SECURITIES, LLC's X-17A-5 filed 2023-05-26 (period 2023-03-31). 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 ANNUAL REPORTS FORM X-17A-S PART Ill FACING PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-68551 **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **04/01 /22** MM/DD/YY AND ENDING **03/31 /23** MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Stoneliving Securities LLC TYPE OF REGISTRANT (check all applicable boxes): Iii Broker-dealer D Security-based swap dealer □ Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 443 North Clark Street, Suite 200 (No. and Street) Chicago IL 60654 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Stephen J. Miles 312.670.5900 miles@sharpca.com (Name) (Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Plante Moran, PLLC (Name - if individual, state last, first, and middle name) 10 South Riverside Plaza, 9th Floor Chicago IL 60606 (Address) (City) (State) (Zip Code) 10/20/2003 166 l" of Reg;matioo w•h PCAOBl(;f appHcablel **FOR OFFICIAL USE ONLY** (PCAOB Reg;st,afoo N"mbe,, • appHcableJ I \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public \ accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. 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, Stephen J. Miles swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of StoneLiving Securities LLC as of March 31 2~ is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely as that of a customer. \_..,. \_\_\_\_\_\_\_ .\_..\_..,.\_, ~- , ![](_page_1_Picture_3.jpe…Read the full text as markdown