SA Stone Wealth Management Inc.

02/06/2026 | Press release | Distributed by Public on 02/06/2026 11:47

Amendment to Information Required of Brokers and Dealers (Form X-17A-5/A)

Form X-17A-5 Filer Information UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL AUDITED REPORT
Form X-17A-5
Part III

FACING PAGE
Information Required of Brokers and Dealers Pursuant to Section 17 of the
Securities Exchange Act of 1934 and Rule 17a-5 Thereunder
OMB APPROVAL

FORM X-17A-5/A

OMB Number: 3235-0123

Estimated average burden hours per response: 12.00

X-17A-5/A: Filer Information

Filer CIK
0000800183
Filer CCC
XXXXXXXX
Is this a LIVE or TEST Filing? LIVE TEST
Would you like a Return Copy?
Is this an electronic copy of an official filing submitted in paper format?
Confirming Copy File Number

Submission Contact Information

Name
Phone
E-Mail Address
Notify via Filing Website only?

X-17A-5/A: Submission Information

Report for the Period Beginning
10-01-2024
and Ending
09-30-2025
Type of Registrant Broker-dealer
OTC derivatives dealer

Material Weakness

Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses? Yes No
Please describe what information is being amended with this filing.

X-17A-5/A: A. Registrant Identification

Name of Broker-dealer
STONEX SECURITIES INC.

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1
2 PERIMETER PARK SOUTH
Address 2
SUITE 500 WEST
City
BIRMINGHAM
State/Country
ALABAMA
Mailing Zip/ Portal Code
35243

Name and Telephone Number of Person to Contact in Regard to this Report

Name
Joseph Porzio
Telephone Number
212-379-5541

X-17A-5/A: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name
KPMG, LLP
Address 1
1000 Walnut Street
Address 2
Suite 1100
City
Kansas City
State/Country
MISSOURI
Mailing Zip/ Postal Code
64106-2162
Check One Certified Public Accountant
Certified Public Accountant not resident in United States or any of its possessions

X-17A-5/A: Signature

Oath or Affirmation

I, Jospeh Porzio, swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of STONEX SECURITIES INC., as of 01-29-2026, are true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:
Signature
Jospeh Porzio
Title
Managing Director - Head of Finance & Operations

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.
SA Stone Wealth Management Inc. published this content on February 06, 2026, and is solely responsible for the information contained herein. Distributed via EDGAR on February 06, 2026 at 17:47 UTC. If you believe the information included in the content is inaccurate or outdated and requires editing or removal, please contact us at [email protected]