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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

www.finra.org

www.sipc.org

www.finra.org/brokercheck



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)

Phone: +1 (866) 275-2677

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.

Notice to Colorado Customers

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 Index
Forex.com UK
Tradefair

StoneX Financial Pte. Ltd. (SFP)

This section contains SFP Customer Agreement, Order Execution Policy, Data Policy Notice and Account Opening forms.

SFP Customer Agreement



SFP Order Execution Policy



SFP Data Privacy Notice



SFP New Customer Application Form – Business Entity



SFP New Customer Application Form – Financial Institution



SFP Accredited Investor Form



SFP Expert Investor Form



SFP Institutional Investor Form

StoneX Financial Nigeria Limited (SFN)

Order Handling and Best Execution Policy



SFN Privacy Notice