Full text of AXOS CLEARING LLC's X-17A-5 filed 2023-09-28 (period 2023-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # Axos Clearing LLC Statement of Financial Condition as of June 30, 2023 and Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | hours per response:<br>12 | |---------------------------| | Estimated average burden | | Expires: Oct. 31, 2023 | | OMB Number: 3235-0123 | | OMB APPROVAL | | | | | ## ANNUAL REPORTS FORM X-17A-5 PART III SEC FILE NUMBER 8-53595 (PCAOB Registration Number, if applicable) | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | |------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|-----------------|-------------------------------| | | | | | | | FILING FOR THE PERIOD BEGINNING 07/01/22<br>MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: Axos Clearing LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>□ Check here if respondent is also an OTC derivatives dealer | @ Broker-dealer | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | 15950 West Dodge Road, Ste. 300 | | | | | | (No. and Street) | | | | Omaha | NE | | 68118 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Howard Green | 402-384-2055 | | howard.green@axosclearing.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | BDO USA, P.C. | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 3570 Carmel Mountain Road San Diego | CA | 92130 | | (Address) | (City) | (State) | (Zip Code) | | 10/08/2003 | | 243 | | (Date of Registration with PCAOB)(if applicable) FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays…Read the full text as markdown