Full text of AXIO FINANCIAL LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTAn:s SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response ...... 1 2. 00 SEC FILE NUMBER **B-53640** # **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 01/01/2020 | ----------- | AND ENDING 12/31/2020 | | | |----------------------------------------------------------------------------------------------|---------------------------------------------------------------------|-----------------------|--------------------------------|--| | | MM/DD/ Y Y | | MMIDDIYY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: AXIO FINANCIAL LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 489 FIF TH AVENUE, 15TH FLOOR | | | | | | | (No and Street) | | | | | NEW YORK | NY | 10022 | | | | (City) | (State) | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>MICHAEL T MARRONE | | | 546-930-1906 | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | GRASSI & CO., CPAS, P.C. | | | | | | | (Name - if imliridua/, slate /a.,1. firs/. middle name) | | | | | 481 MADISON AVENUE | NEW YORK | NY | 10022 | | | (Addre~~) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | ✓ jcertified Public Accountant | | | | | | Public Accountant | | | | | | B | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | *\*Claims for e:xemption J,-om 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 hasisfor the exemption. See Section 2.J0.1 7a-5(e)(2)* > **Potential persons who are to respond to the collection of information contained** in th **is form are not required to respond unless the form displays a currently val id OM B control** number. SEC 1410 (11-05) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | [, MARC PALEY | | | _________…Read the full text as markdown