Full text of AXIO FINANCIAL LLC's X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED ST A TES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL AUDITED REPORT FORM X-17A-5 PARTIII** | 0MB APPROVAL | | |--------------------------|-----------------------------| | 0MB Number; | 3235-0123 | | Expires: | August 31 , 2020 | | Estimated average burden | | | | hours oer response . 12.00 | | SEC FILE NUMBER | |-----------------| | &-53640 | **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 PER10D BEGINNING 01/01/2019<br>AND ENDING 12/31/2019 | | | | |----------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------|------------|------------------------------------------------|--| | | MMIDDIYY | | MM/0D/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: AXIO FINANICAL LLC<br>ADDRESS OF PRINCIPAL PLACF OF BUSINESS: (Do not use P.O. Box No.) | | | OFFICIAL USE ONLY<br>FIRM I.D. NO. | | | | | | | | | 489 FIFTH AVENUE, 15TH FLOOR | | | | | | NEW YORK | (No. and Street)<br>NY | | 10022 | | | (City) | (Stace) | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONT ACT IN REGARD TO THIS REPORT<br>MICHAEL T MARRONE | | | 646-930-1906<br>(Arca Code - Telephone Number) | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report•<br>GRASSI & CO., CPAS, P.C. | (Name - ,j md11·1d11al. stare las/, first . middle name) | | | | | 488 MADISON AVENUE | NEW YORK | NY | 10022 | | | (Address) | (City ) | (State) | (Zip Code) | | | CHECK ONE:<br>§<br>Certified Public Accountant<br>Public Accountant | Accountant not resident in United States or any of tis possessions.<br>FOR OFPICIAL USE OHL Y | | | | *\*Claims for exemption from rhe requirement that th e a111111al report be co1·ered by the opinion of an independent public accounrant must be supported by a statemenl of facls and circumstances relied on as rhe basis for the exemption. See Section 240.* J *7a-5(e)(2)* > Potontial porsons who are to respond to the collection of information contained in thie form are ,:tot roqulrod to respond unless the form displays a currently valld 0MB control number. SEC 1410 (06-02} {1}------------------------------------------------ ### **OATH OR AFFIRMATION**…Read the full text as markdown