Full text of LXM USA LLP's X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITIESAND EXCHANGE COMMISSION Washington, D.C. 20549 CONFIDENTIAL # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** 0MB APPROVAL .. 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ...... 12.00 # SEC FILE NUMBER 8-69319 **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<br>MM/DD/YY<br>A. REGISTRANT IDENTIFICATION | AND ENDING 12/31/2020 | -----------<br>MM/DD/YY | |----------------------------------------------------------------------------------------|------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | OFFICIAL USE ONLY | | | | FIRM I.D. NO. | | (No. and Street) | | | | New York | | 10017 | | (State) | | (Zip Code) | | | | 917-238-1263 | | | | (Area Code - Telephone Number) | | | | | | | | | | | | | | | | | | Woodbury | N.Y. | 11797 | | (City) | (State) | (Zip Code) | | | | | | | | | | | NAME OF BROKER-DEALER: LXM USA LLP | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report*<br>Raphael, Goldberg, Nikpour, Cohen, Sullivan CPA's PLLC<br>(Name - if i11divid11al, stare /(Isl, first, middle tl(lme)<br>Accountant not resident in United States or any of its possessions.<br>FOR OFFICIAL USE ONLY | *\*Claims/or exemptio11from the req11ireme11t that the a11nual report be covered by the opinion of a11 i11depende111 public acco11nta111 must be supported by a statement of facts and circumstances l'elied* 011 *as the basis for the exemption. See Section 240.17 a-5 (e)(2)* > **Potential persons who are to respond to the collection of information contained in this form are not required to respond** unless the form displays a currently valid 0MB control number.…Read the full text as markdown