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StoneX Financial Inc. (SFI) Regulatory Disclosures
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
Equity Order Handling Protocols & Disclosures
FINRA Rule 5320 Disclosure
Extended Hours Disclosure
Margin Disclosure Statement
IRS Non-Bank Trustee Disclosure Statement
Callable Securities Procedures Disclosure
FDIC Insured Deposit Sweep Program Disclosure
FDIC IDP Participating Banks
Characteristics and Risks of Standardized Options
Notice to Canadian Clients
MSRB Investor Client Education and Protection Disclosure
Customer Relations Summary
Statement of Financial Condition
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.
StoneX Financial Inc. Business Resiliency Disclosure
StoneX Financial Inc. Privacy Policy
StoneX Group Inc. California Privacy Notice
Additional disclosures applicable to institutional accounts clearing through BofA Securities. Inc.
Regulatory Links
StoneX Markets LLC (SXM) Regulatory Disclosures
ISDA documents
MiFID & EMIR disclosure documents
This section contains required disclosures for StoneX Financial Ltd and the FCM Division of StoneX Financial Inc. In respect of the European Markets Infrastructure Regulations (“EMIR”) and Markets in Financial Instruments Directive (MiFID).
Statement of Financial Condition
INTL Fillmore Advisors LLC (IFA) Disclosures
INTL Fillmore Advisors LLC is a member of FINRA/NFA/SIPC and is registered with the SEC and CFTC as a broker-dealer. You can learn more about the background of INTL Fillmore Advisors LLC on Brokercheck.
IFA Business Continuity Plan
IFA SIPC Disclosure
IFA Payment for Order Flow Disclosure
IFA Extended Hours Trading Risk Disclosure
IFA Customer Identification Program Notice
Privacy Policy for INTL Fillmore Advisors
Characteristics and Risks of Standardized Options
StoneX Payment Services Ltd. (SPS) Regulatory Disclosures
US Terms of Business
US Privacy Policy
Canada Terms of Business
Canada Privacy Notice
Licenses and Client Notices
The StoneX Group Inc. (the “Company”) group of companies provides financial services worldwide through its subsidiaries, including physical commodities, securities, exchange-traded and over-the-counter derivatives, risk management, global payments and foreign exchange products in accordance with applicable law in the jurisdictions where services are provided. StoneX Payment Services Ltd. is a wholly owned subsidiary of StoneX Group Inc. Incorporated in the State of Washington, U.S.A., Washington Corporation (UBI 603 514 004). Authorized and regulated by Money Service Business Multi-State Protocol on NMLS [NMLS:1394445] Licensing and Regulatory Information United States: StoneX Payment Services Ltd. (U.S.A.)
- Washington Corporation (UBI 603 514 004)
- Florida HQ (F19000000068)
- FinCEN Registration as an MSB (31000225191175)
- Global Markets Entity Identifier (GMEI) (543008RP59ZQ3UQ1882)
- NMLS Registration (1394445)
- FINTRAC Registration as an MSB (MSB registration no. M22868358)
- Revenu Québec Registration as an MSB (MSB license no. 15540)
Multiple states use the NMLS ID number (1394445) as StoneX Payment Services Ltd.’s money transmitter license number. This number, as well as any state-specific licensing numbers, are included below for all states in which StoneX Payment Services Ltd. is licensed as a money transmitter:
Alabama (MT 811), Alaska (AKMT-016908), Arkansas (129564), Arizona (MT-1000854), California (MT 2653), Colorado (500262), Connecticut (MT-1394445), District of Columbia (NMLS 1394445), Florida (FT230000253), Georgia (65171), Idaho (MTL-240), Illinois (MT 0000338), Iowa (2019-0003), Kansas (MT.0000148), Kentucky (SC700740), Louisiana (1394445), Maine (NMLS 1394445), Maryland (NMLS 1394445), Michigan (MT0022015), Minnesota (NMLS 1394445), Missouri (MO-20-8525), Nebraska (NMLS 1394445), New Hampshire (22926-MT), New Jersey (1903874), New Mexico (NMLS 1394445), North Dakota (MT103229), Ohio (OHMT159), Oklahoma (NMLS 1394445), Oregon (30224), Pennsylvania (58690), South Carolina (NMLS 1394445), South Dakota (MT.2142), Tennessee (NMLS 1394445), Texas (3179), Utah (178), Washington (550-MT-116463), West Virginia (WVMT-1394445), Wyoming (7253).
For a listing of state regulatory agency complaints departments and procedures, please expand the below. We encourage you to first contact SPS with any complaints so as to rectify your problem efficiently at [email protected].
Click to expand for state-specific license disclosures and client notices
FinCEN Registration
StoneX Payment Services Ltd. is a wholly-owned subsidiary of StoneX Group Inc. and is registered with the Financial Crimes Enforcement Network (“FinCEN”), United States Department of Treasury, MSB Registration No. 31000225191175.
FINTRAC Registration
StoneX Payment Services Ltd. is registered with the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC), MSB registration no. M22868358.
Revenu Québec Registration
StoneX Payment Services Ltd. is registered as a money services business with Revenu Québec, MSB license no. 15540.
Alabama
Licenses and client notices for StoneX Payment Services Ltd. in the state of Alabama.
State Agency: Alabama Securities Commission
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please direct your complaint to:
Phone: +1 (800) 222-1253
Email: [email protected]
By mail:
Alabama Securities Commission, Enforcement Division
P.O Box 304700
Montgomery, AL 36130-4700
Alaska
Licenses and client notices for StoneX Payment Services Ltd. in the state of Alaska.
State Agency: State of Alaska, Division of Banking & Securities
For Alaska Residents Only: If your issue is unresolved by StoneX Payment Services Ltd. at +1 (212) 485-3549, please submit formal complaints with the State of Alaska, Division of Banking & Securities.
Please download the form here: https://www.commerce.alaska.gov/web/portals/3/pub/DBSGeneralComplaintFormupdated.pdf
Submit formal complaint form with supporting documents: Division of Banking & Securities PO Box 110807 Juneau, AK 99811-0807
If you are an Alaska resident with questions regarding formal complaints, please email us at [email protected] or call Nine Zero Seven Four Six Five Two Five Two One.
Arizona
Licenses and client notices for StoneX Payment Services Ltd. in the state of Arizona.
State Agency: Arizona Department of Financial Institutions
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please direct your complaint here.
Arkansas
Licenses and client notices for StoneX Payment Services Ltd. in the state of Arkansas.
State Agency: Arkansas Securities Department
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please direct your complaint here.
California
Licenses and client notices for StoneX Payment Services Ltd. in the state of California.
State Agency: California Department of Financial Protection and Innovation (DFPI)
Email: [email protected]
By mail:
California Department of Financial Protection and Innovation (DFPI), Consumer Services
1515 K Street
Suite 200
Sacramento, CA 95814
Colorado
Licenses and client notices for StoneX Payment Services Ltd. in the state of Colorado.
State Agency: Division of Banking
By mail: Entities other than FDIC insured financial institutions that conduct money transmission activities in Colorado, including the sale of money orders, transfer of funds, and other instruments for the payment of money or credit, are required to be licensed by the Colorado Division of Banking pursuant to the Money Transmitters Act, Title 11, Article 110, Colorado Revised Statutes.
If you have a question about or problem with your transaction – the money you sent
You must contact the Money Transmitter who processed your transaction for assistance. The Division of Banking does not have access to this information.
If you are a Colorado resident and have a complaint about the money transmitter – the company that sent your money
ALL complaints must be submitted in writing. Please fill out the Complaint Form provided on the Colorado Division of Banking’s website and return it and any documentation supporting the complaint via mail or email to the Division of Banking at:
Colorado Division of Banking
1560 Broadway, Suite 975
Denver, CO 80202
Connecticut
Licenses and client notices for StoneX Payment Services Ltd. in the state of Connecticut.
State Agency: State of Connecticut Department of Banking
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please direct your complaint here.
District of Columbia
Licenses and client notices for StoneX Payment Services Ltd. in the state of District of Columbia.
State Agency: District of Columbia Department of Insurance, Securities and Banking Bureau
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please complete this form and submit via your preferred option below.
Phone: +1 (202) 727-8000
Fax: +1 (202) 354-1085
By mail:
District of Columbia Department of Insurance, Securities and Banking
1050 First St., NE, Suite 801
Washington, DC 20002
Florida
Licenses and client notices for StoneX Payment Services Ltd. in the state of Florida.
State Agency: Florida Office of Financial Regulation
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please complete this form and submit via your preferred option below.
Phone: +1 (850) 410-9800 or +1 (850) 487-9687
Fax: +1 (850) 410-9548
By mail:
Florida Office of Financial Regulation Division of Financial Institutions
Consumer Assistance Group
200 E. Gaines Street
Tallahassee, Florida 32399-0371
Georgia
Licenses and client notices for StoneX Payment Services Ltd. in the state of Georgia.
State Agency: Georgia Department of Banking and Finance
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please direct your complaint here.
Phone: +1 (855) 411-2372
Hawaii
Licenses and client notices for StoneX Payment Services Ltd. in the state of District of Hawaii.
State Agency: Hawaii Department of Commerce and Consumer Affairs – Financial Institutions
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please direct your complaint here.
Idaho
Licenses and client notices for StoneX Payment Services Ltd. in the state of District of Idaho.
State Agency: Idaho Department of Finance
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please complete this form and submit via your preferred option below.
Email: [email protected]
Phone: +1 (208) 332-8004
Fax: +1 (208) 332-8099
By mail:
Idaho Department of Finance Securities Bureau
PO Box 83720
Boise, ID 83720-0031
Illinois
Licenses and client notices for StoneX Payment Services Ltd. in the state of District of Illinois.
State Agency: Illinois Department of Financial & Professional Regulation
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please complete this form and submit via your preferred option below.
Phone: +1 (888) 298-8089
By mail:
Department of Financial Professional Regulation Division of Financial Institutions
230 West Washington, 5th Floor
Springfield, Illinois 62786
Iowa
Licenses and client notices for StoneX Payment Services Ltd. in the state of District of Iowa.
State Agency: Iowa Division of Banking Finance Bureau
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please direct your complaint here.
Phone: +1 (515) 281-4014
Kansas
Licenses and client notices for StoneX Payment Services Ltd. in the state of District of Kansas.
State Agency: Kansas Office of the State Bank Commissioner
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please complete this form and submit via your preferred option below.
Email: [email protected]
By mail:
Office of the State Bank Commissioner
Attn: Consumer Affairs, 700 SW Jackson, STE 300
Topeka, KS 66603
Kentucky
Licenses and client notices for StoneX Payment Services Ltd. in the state of District of Kentucky.
State Agency: Department of Financial Institutions
Louisiana
Licenses and client notices for StoneX Payment Services Ltd. in the state of Louisiana.
State Agency: Louisiana Office of Financial Institutions Non-Depository Division
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please complete this form and submit via your preferred option below.
Fax: +1 (225) 925-4524
Phone: +1 (225) 925-4660 or +1 (888) 525-9414
Email: [email protected]
By mail:
Post Office Box 94095
Baton Rouge, LA 70804-9095
Maine
Licenses and client notices for StoneX Payment Services Ltd. in the state of Maine.
State Agency: Maine Department of Professional & Financial Regulation
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please direct your complaint here.
Phone: +1 (800) 965-5235
By mail:
Maine Bureau of Financial Institutions
Consumer Outreach Program
36 State House Station
Augusta, ME 04333-0036
Maryland
Licenses and client notices for StoneX Payment Services Ltd. in the state of Maryland.
State Agency: Maryland Office of the Commissioner of Financial Regulation
The Commissioner of Financial Regulation for the State of Maryland will accept all questions or complaints from Maryland residents regarding StoneX Payment Services Ltd. NMLS No.: 1394445 at 1100 North Eutaw Street, Suite 611 Baltimore, Mayland 21201, Baltimore, MD 21202 or at 1-888-784-0136.
Michigan
Licenses and client notices for StoneX Payment Services Ltd. in the state of Michigan.
State Agency: Michigan Department of Insurance and Financial Services
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please direct your complaint here.
Phone: +1 (877) 999-6442
Minnesota
Licenses and client notices for StoneX Payment Services Ltd. in the state of Minnesota.
State Agency: Minnesota Department of Commerce
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please direct your complaint here.
Phone: +1 (651) 539-1600
Missouri
Licenses and client notices for StoneX Payment Services Ltd. in the state of Missouri.
State Agency: Missouri Division of Finance
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please complete this form and submit via your preferred option below.
Phone: +1 (573) 751-3242
By mail:
Missouri Division of Finance
PO Box 716
Jefferson City, Missouri 65102-0716
Nebraska
Licenses and client notices for StoneX Payment Services Ltd. in the state of Nebraska.
State Agency: Nebraska Department of Banking and Finance
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please complete this form and submit via your preferred option below.
Phone: +1 (402) 471-2171
By United States mail:
The Nebraska Department of Banking and Finance
P.O. Box 95006
Lincoln, NE 68509-5006
By private mail:
The Nebraska Department of Banking and Finance
1526 K Street
Suite 300
Lincoln, NE 68508-2732
New Hampshire
Licenses and client notices for StoneX Payment Services Ltd. in the state of New Hampshire.
State Agency: New Hampshire Banking Department
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please complete this form and submit via your preferred option below.
Phone: +1 (603) 271-3561
TDD Access: Relay NH +1 (800) 735-2964
Fax: +1 (603) 271-1090
Email: [email protected]
By mail:
State of New Hampshire Banking Department
53 Regional Drive
Suite 200
Concord, NH 03301
New Jersey
Licenses and client notices for StoneX Payment Services Ltd. in the state of New Jersey.
State Agency: New Jersey Department of Banking & Insurance
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please complete this form and submit via your preferred option below.
Phone: +1 (609) 292-7272 or +1 (800) 446-7467
Fax: +1 (609) 454-8468
By mail:
NJDOBI
PO Box 471
Trenton, NJ 08625-0471
New Mexico
Licenses and client notices for StoneX Payment Services Ltd. in the state of New Mexico.
State Agency: New Mexico Financial Institutions Division
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please direct your complaint here.
Email: [email protected]
Nevada
Licenses and client notices for StoneX Payment Services Ltd. in the state of Nevada.
State Agency: Nevada Financial Institutions Division
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please direct your complaint here:
If you have questions regarding formal complaints, please call the Nevada Financial Institutions Division at +1 (702) 486-4120.
North Dakota
Licenses and client notices for StoneX Payment Services Ltd. in the state of North Dakota.
State Agency: North Dakota Department of Financial Institutions
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please complete this form and submit via your preferred option below.
By mail:
North Dakota Department of Financial Institutions
2000 Schafer Street, Suite G
Bismarck, ND 58501-1204
Fax: +1 (701) 328-0290
Email: [email protected]
Ohio
Licenses and client notices for StoneX Payment Services Ltd. in the state of Ohio.
State Agency: Division of Financial Institutions
Oklahoma
Licenses and client notices for StoneX Payment Services Ltd. in the state of Oklahoma.
State Agency: Oklahoma Department of Banking
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please direct your complaint here.
Oregon
Licenses and client notices for StoneX Payment Services Ltd. in the state of Oregon.
State Agency: Oregon Division of Finance and Corporate Securities
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please complete this form and submit via your preferred option below.
Fax: +1 (503) 947-7862
By mail:
Oregon Department of Consumer and Business Services
PO Box 14480
Salem, OR 97309-0405
Email: [email protected]
Pennsylvania
Licenses and client notices for StoneX Payment Services Ltd. in the state of Pennsylvania.
State Agency: Pennsylvania Department of Banking and Securities
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please direct your complaint here.
Phone: +1 (800) 600-0007
Rhode Island
Licenses and client notices for StoneX Payment Services Ltd. in the state of Rhode Island.
State Agency: Rhode Island Division of Banking
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please direct your complaint here:
By mail:
State of Rhode Island
Division of Banking
1511 Pontiac Avenue, Bldg 68-1
Cranston, RI 02920
South Carolina
Licenses and client notices for StoneX Payment Services Ltd. in the state of South Carolina.
State Agency: Office of the Attorney General
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please direct your complaint to:
Phone: +1 (803) 734-1221
South Dakota
Licenses and client notices for StoneX Payment Services Ltd. in the state of South Dakota.
State Agency: South Dakota Dept. of Labor & Regulation
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please direct your complaint here.
Phone: +1 (605) 773-3421
Tennessee
Licenses and client notices for StoneX Payment Services Ltd. in the state of Tennessee.
State Agency: Tennessee Department of Financial Institutions
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please direct your complaint here.
Phone: +1 (615)253-7794
Request a form via e-mail at: [email protected]
By mail:
Tennessee Department of Financial Institutions
Tennessee Tower, 26th Floor
312 Rosa L. Parks
Nashville, TN
Texas
Licenses and client notices for StoneX Payment Services Ltd. in the state of Texas.
State Agency: Department of Banking
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please direct your complaint to:
Texas Department of Banking
2601 North Lamar Boulevard
Austin, Texas 78705
1-877-276-5554 (toll free)
www.dob.texas.gov
Utah
Licenses and client notices for StoneX Payment Services Ltd. in the state of Utah.
State Agency: Utah Department of Financial Institutions
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please complete this form and submit via your preferred option below.
Fax: (801) 538-8894
By mail:
Utah Department of Financial Institutions
PO Box 146800
Salt Lake City, UT 84114-6800
Vermont
Licenses and client notices for StoneX Payment Services Ltd. in the state of Vermont.
State Agency: Vermont Department of Financial Regulation
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please direct your complaint here.
Washington
Licenses and client notices for StoneX Payment Services Ltd. in the state of Washington.
State Agency: Washington Department of Financial Institutions
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please complete this form and submit via your preferred option below.
Phone: +1 (360) 902-8703
Email: [email protected]
West Virginia
Licenses and client notices for StoneX Payment Services Ltd. in the state of West Virginia.
State Agency: West Virginia Division of Financial Institutions
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please direct your complaint here:
Phone: +1 (304) 558-2294
By mail:
West Virginia Division of Financial Institutions
900 Pennsylvania Avenue
Suite 306
Charleston, WV 25302
Wyoming
Licenses and client notices for StoneX Payment Services Ltd. in the state of Wyoming.
State Agency: Wyoming Department of Audit, Division of Banking
If you have a complaint, first contact Client Support for StoneX Global Payments at +1 (212) 485-3549.
If you still have an unresolved complaint regarding the company’s money transmission or currency exchange activity, please complete this form and submit via your preferred option below.
Fax: +1 (307) 777-3555
Email: [email protected]
By mail:
Wyoming Division of Banking
122 West 25th Street
Herschler Building, 3
East Cheyenne, WY 82009
StoneX Financial Ltd. (SFL) Regulatory Disclosures
ISDA documents
Templates & disclosures
Disclosures for opening an account through StoneX Financial Ltd. For Account Opening, alongside Risk & European Exchange Disclosures (LME, ICE, Europe) for customers of StoneX Financial Ltd. Full account documents are not currently available online.
MiFID & EMIR disclosure documents
This section contains required disclosures for StoneX Financial Ltd and the FCM Division of StoneX Financial Inc. In respect of the European Markets Infrastructure Regulations (“EMIR”) and Markets in Financial Instruments Directive (MiFID)
Tax strategy
Complaints
We aim to provide a high standard of service to all our clients on every occasion.
However, if you wish to raise a complaint about any aspect of our service, you can contact our Advisory Compliance Team on (+44) 203 580 6000, email [email protected] or send a copy of your complaint to:
Advisory Compliance Team
StoneX Financial Ltd.
Moor House, 1st Floor
120 London Wall
London
EC2Y 5ET
PLEASE NOTE: If your complaint relates to services provided by City Index or Forex.com, the complaints handling process is slightly different. Please see the relevant complaints section of the City Index and Forex.com websites:
https://www.cityindex.co.uk/terms-and-policies/important-information/
https://www.forex.com/en-uk/terms-and-policies/important-information/
Complaints procedure
To help us investigate and resolve your complaint as quickly as possible and with minimum inconvenience to you, please make sure you give us as much information as possible, including:
- Your name, address and client account number
- A clear description of your complaint
- Details of what you would like us to do to put it right
- Copies of any relevant documents, such as letters
- A daytime telephone number where we can contact you
Once received your complaint will be referred to our Compliance Department who will:
- Send you a prompt written acknowledgement
- Issue you a final response within eight weeks of the complaint logged date setting out our view and your options
If you are not satisfied with the outcome of your complaint, you can request a review from the Financial Ombudsman Service. The Financial Ombudsman Service has been established to review eligible complaints which firms are unable to resolve.
In our final response, we will confirm your eligibility to refer your complaint to the Financial Ombudsman Service which must take place within six months of our final response. The Financial Ombudsman Service’s contact details are outlined below:
The Financial Ombudsman Service
Exchange Tower
London
E14 9SR
Telephone: 0300 123 9 123 or 0800 023 4567
Website: www.financial-ombudsman.org.uk
Legal:
The trading of commodities and derivatives such as futures, options, and swaps involves substantial risk of loss and may not be suitable for all investors. Advisory services as well as the trading of futures and options is available through various subsidiaries of StoneX Group Inc. including but not limited to the FCM Division of StoneX Financial Inc. Public Disclosures for the FCM Division of StoneX Financial Inc. The trading of over-the-counter products or swaps is available through subsidiary StoneX Markets LLC to individuals or firms who qualify under CFTC rules as an eligible contract participant. Please click here for the full disclaimer.
Important Information About Procedures for Opening A New Account
To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify and record information that identifies each person who opens an account.
What this means for you: When you open an account, we will ask for your name, address, date of birth and other information that will allow us to identify you. We may also ask to see your driver's license or other identifying documents.
Client Service Center
Do you have a question about your new or existing account? Need more information on how to fill out an account form?
Our Client Service Center is here to assist you with your needs.
Call toll-free 1-877-414-4435 from 8 am – 4:30 pm Central Time, Monday-Friday for prompt and reliable assistance or email [email protected].
StoneX Financial Europe S.A. (SFE) Regulatory Disclosures
This section contains the reverse solicitation form required from EEA clients working with StoneX Financial Ltd. (SFL)
StoneX Financial GmbH documents
SFE Pillar 3 Disclosure
SFE Terms of Business (Securities)
SFE Execution Policy
SFE Indicative Ex Ante Costs and Charges Disclosure
SFE Risk Warning Statement
StoneX European Privacy Notice
SFE Top Five Execution Venues Report
MiFID & EMIR disclosure documents
This section contains required disclosures for StoneX Financial Ltd and the FCM Division of StoneX Financial Inc. In respect of the European Markets Infrastructure Regulations (“EMIR”) and Markets in Financial Instruments Directive (MiFID).
Reverse Solicitation: European Economic Area (EEA)
This section contains the reverse solicitation form required for EEA clients working with StoneX Financial Ltd. (SFL).
The Packaged Retail Investment and Insurance Products (PRIIPS) regulation requires firms to provide its retail clients with certain key documents relating to the products and services provided. These documents aim to help you better understand the nature, risks, costs and potential gains and losses associated with trading StoneX Financial LTD’s products.
City IndexForex.com UK
Tradefair
StoneX Financial Pte. Ltd. (SFP)
This section contains SFP Customer Agreement, Order Execution Policy, Data Policy Notice and Account Opening forms.