Full text of LXM USA LLP's X-17A-5/A filed 2021-03-29 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 CONFIDENTIAL # **ANNUAL AUDITED REPORT FORM X-17A-5 PARTIII** 0MB APPROVAL ., 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ...... 12.00 # SEC FILE NUMBER &-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 | | AND ENDING 12/31/2020 | ----------- | |-------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------|-----------------------|------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: LXM USA LLP | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 1.0. NO. | | 420 Lexington Ave | | | | | | (No. and Street) | | | | New York, | New York | | 10017 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>J. Clarke Gray | | | 917-238-1263 | | | | | (Area Code-Telephone Number) | | | B. ACCOUNT ANT IDENTIFICATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report*<br>Raphael, Goldberg, Nikpour, Cohen, Sullivan CPA's PLLC | | | | | | (Name - tfindNid11a/, state last,flrst, middle name) | | | | 97 Froehlich Farm Blvd. | Woodbury | N.Y. | 11797 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | !<br>✓ !certified Public Accountant | | | | | Public Accountant | | | | | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report he covered by the opinion of an independent public accoumam must he supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. I 7a-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. SEC 1410 (11-05) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, J. Clarke Gray | | • swear (or affirm) that…Read the full text as markdown