The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete. |
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
|
| OMB APPROVAL |
| OMB Number: |
3235-0006 |
| Estimated average burden |
| hours per response: |
23.8 |
|
|
| Report for the Calendar Year or Quarter Ended: |
09-30-2023 |
| Check here if Amendment |
X |
Amendment Number: |
2 |
| This Amendment (Check only one.): |
|
is a restatement. |
|
X |
adds new holdings entries. |
| Institutional Investment Manager Filing this Report: |
| Name: |
StoneX Group Inc. |
| Address: |
230 Park Ave |
|
10th Floor |
|
New York,
NY
10169
|
| Form 13F File Number: |
028-17573 |
| CRD Number (if applicable): |
| SEC File Number (if applicable): |
The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.
| Person Signing this Report on Behalf of Reporting Manager: |
| Name: |
John Calvano |
| Title: |
CCO, StoneX Advisors Inc. & Trust Advisory Group Ltd. |
| Phone: |
2054143367 |
| Signature, Place, and Date of Signing: |
| John Calvano |
Birmingham,
AL
|
08-13-2025 |
| [Signature] |
[City, State] |
[Date] |
| During an internal review of StoneX Group Inc.'s Section 13(f) reporting practices we discovered the quarterly filings from Q4 2021 through Q1 2025 under-reported the total number of securities, shares and market values. The errors involved all Other Reporting Managers: StoneX Advisors Inc., StoneX Financial Inc., and Trust Advisory Group, Ltd. The review identified four main causes: 1. Missing Market Making Accounts; Between Q4 2021 and Q4 2024, three market making accounts were inadvertently excluded from the Firm's filings. 2. Formula Error in Excel; From Q1 2022 to Q4 2022, the Firm mistakenly used "XLOOKUP" functionality instead of "SUMIF" in Excel causing only the first instance of a CUSIP to be counted. 3. Failure to Implement Rule Change; SEC Rule 87 FR 38943 requiring all dollar values to be rounded to the nearest dollar, rather than to the nearest one thousand dollars, was not properly implemented from Q4 2022 to Q1 2025. 4. Excel Scientific Notation Error; Between Q4 2021 and Q1 2025, CUSIPs with an "E" were inadvertently converted into scientific notation in Excel. This led to the misidentification of certain reportable securities. |
| Report Type (Check only one.): |
| X |
13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) |
| |
13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) |
| |
13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) |
| Form 13F Summary Page |
|
Report Summary: |
|
Number of Other Included Managers: |
2 |
|
|
|
Form 13F Information Table Entry Total: |
400 |
|
Form 13F Information Table Value Total: |
180,833,921 |
|
(round to nearest dollar) |
|
| List of Other Included Managers: |
| Provide a numbered list of the name(s) and Form 13F file number(s)
of all institutional investment managers with respect to which this report is filed, other than the
manager filing this report. |
| [If there are no entries in this list, state "NONE" and omit the
column headings and list entries.] |
|
No. |
Name |
Form 13F File No. |
CRD No. (if applicable) |
SEC File No. (if applicable) |
CIK |
|
1 |
StoneX Advisors Inc. |
028-17766 |
|
|
0001650393 |
|
2 |
STONEX FINANCIAL INC. |
028-21283 |
|
|
0001070092 |
