Regulatory Disclosures

The Broker-Dealer Division of StoneX Financial Inc. is a member of FINRA/SIPC, MSRB registered and is a wholly owned subsidiary of StoneX Group Inc. You can learn more about the background of StoneX Financial Inc. on Brokercheck.

SEC Order Execution / Routing Practices

To access this disclosure, please click here.

Click here to access the Firm’s Disclosure of SEC-Required Order Execution Information (Rule 605).

Equity Order Handling Protocols & Disclosures

To access this disclosure, please click here.

FINRA Rule 5320 Disclosure

To access this disclosure, please click here.

Additional Disclosures

To access the Extended Hours Disclosure, please click here.

To access the Margin Disclosure Statement, please click here.

To access the IRS Non-Bank Trustee Disclosure Statement, please click here.

To access the Callable Securities Procedures Disclosure, please click here.

To access the FDIC Insured Deposit Sweep Program Disclosure, please click here.

To view the list of FDIC IDP Participating Banks please click here

To view the Characteristics and Risks of Standardized Options, please click here

To access the Notice to Canadian Clients, please click here

To access the MSRB Investor Client Education and Protection Disclosure, please click here.

Customer Relationship Summary

To access the StoneX Financial Inc. Form CRS, please click here.

Statements of financial condition

View recent statements of financial condition:

Unaudited March 31, 2023

Audited September 30, 2022

Unaudited March 31, 2022

Audited September 30, 2021

Unaudited March 31, 2021

Audited September 30, 2020

Unaudited March 31, 2020

Each annual report is filed with the Securities and Exchange Commission pursuant to Rule 17a-5 of the Securities Exchange Act, and is available for inspection at the principal office of the Company and at the regional office of the Securities and Exchange Commission.

Regulatory Links


Business Resiliency Disclosure

StoneX Financial Inc. Business Resiliency Disclosure

Privacy Policy

StoneX Financial Inc. Privacy Policy

California Privacy Notice

StoneX Group Inc. California Privacy Notice


Additional disclosures applicable to institutional accounts clearing through BofA Securities, Inc.

BofA Securities, Inc. Annual Disclosures

Meet the Team

Orlando, FL
329 Park Avenue North
Suite 350
Winter Park, FL 32789
Tel: +1 (800) 541-1977


Miami, FL
333 S.E. 2nd Avenue
Avenue of the Americas
21st Floor
Miami, FL 33131
Tel: +1 (305) 925-4975


New York, NY
230 Park Avenue
10th Floor
New York, NY 10169
Tel: +1 (212) 766-0100


Boca Raton, FL
2600 N. Military Trail
Suite 100
Boca Raton, FL 33431
Tel: +1 (561) 544-7611


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