Full text of AXOS CLEARING LLC's X-17A-5 filed 2021-09-14 (period 2021-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # Axos **Clearing** LLC Statement of financial condition for the Year Ended June 30, 2021 and Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ **UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response .... . . 12.00 SEC FILE NUMBER **B-53595** # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING 07/01/2020 | ------<br>---<br>AND ENDING 06/30/2021 | | | | |---------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|-------------------|-------------------------------|--| | | MM/0D/YY | | -<br>-<br>MM/00/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Axos Clearing LLC | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 1299 Farnam Street, Suite 800 | | | | | | | (No. and Street) | | | | | Omaha | Nebraska | | 68102 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>David Brant | | | 402-384-2101 | | | | | | (Area Code -Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | BOO USA, LLP | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 3570 Carmel Mountain Road | San Diego | CA | 92130 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | I<br>✓ | | | | | | Certified Public Accountant<br>Public Accountant | | | | | | D | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | *Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant | | | | | *must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2)* **Potential persons who are to respond to the collection of information contained in this form a…Read the full text as markdown