Full text of FNC AG STOCK, LLC's X-17A-5 filed 2023-11-27 (period 2023-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **FNC Ag Stoel<, LLC** (SEC I.D. No. 8-69177) Statement of Financial Condition as of September 30, 2023 and Report of Independent Registered Public Accounting Firm > Filed pursuant to 17a-5(e)(3) as a **PUBLIC** document. {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **10/01/2022** MM/DD/VY AND ENDING **09/30/2023** MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: FNC Ag Stock, LLC TYPE OF REGISTRANT (check all applicable boxes): l:!J Broker-dealer □ Security-based swap dealer □ Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 4050 Garden View Drive, Suite 103 (No. and Street) Grand Forks ND 58201 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Nick Watson (701) 780-2828 nwatson@fncagstock.com (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Mayer Hoffman Mccann P.C. (Name - If Individual, state last, first, and middle name) 1000 Campbell Mithyn Tower, 222 S 9th St **Minneapolis** MN 55402 (Address) (City) (State) (Zip Code) 10/22/2003 199 re ofReg;malfoo with PCAOB)llf applicable} **FOR OFFICIAL USE ONLY** {PCAOB Reglst,atloo N,mbec, If applicable}' • 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-5(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. {2}------------------------------------------------ ## **OATH OR AFFIRMATION** | | NIck Watson | |----|-------------| | 1. | | | | | **I,** Nick Watson swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of FNC…Read the full text as markdown