Full text of AXIO FINANCIAL LLC's X-17A-5 filed 2022-03-07 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-5 PART Ill** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-53640 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING 01101121 | --------- | | ----------<br>AND ENDING 12131121 | | | | |--------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|----|-----------------------------------|------------------------------------------------|--|--| | | MM/DD/YY | | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: AXIO FINANCIAL LLC | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>ii Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | | | D Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 60 EAST 42ND STREET, 26TH FLOOR | | | | | | | | | (No. and Street) | | | | | | | NEW YORK | NY | | 10165 | | | | | (City) | (State) | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | MICHAEL T MARRONE | 646-930-1906 | | | MMARRONE@ICAPITALNEl | | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | DELOITTE & TOUCHE LLP | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 30 ROCKEFELLER PLAZA - 41 ST FL | NEW YORK | | NY | 10112 | | | | (Address) | (City) | | (State) | (Zip Code) | | | | 10/20/2003 | | 34 | | | | | | rte of Regi~,atioo wrth PCAOB)lif applicable) | FOR OFFICIAL USE ONLY | | | I<br>{PCAOB Regi~,atioo N,mbec, If applicable) | | | \* Claims for exemption from the requirement that the annual reports be covered by the 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)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained in this form ar…Read the full text as markdown