# AXOS INVEST LLC X-17A-5 (2020-03-02) — Broker-dealer annual report - Company: AXOS INVEST LLC - Form: X-17A-5 - Filed: 2020-03-02 - Period: 2019-12-31 - Accession: 0001613950-20-000002 - CIK: 1613950 - File #: 8-69507 - Material weakness: No - Auditor: Raphael Goldberg Nikpour Cohen & Sullivan CPA's PLLC - Auditor location: Woodbury, NY - Contact: Derrick K. Walsh - Phone: 8586492165 - Signed by: Derrick K. Walsh (Chief Financial Officer) Original filing: https://www.sec.gov/Archives/edgar/data/1613950/000161395020000002/OathorAffirmation1.pdf --- {0}------------------------------------------------ **UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response .. .... 12.00 SEC FILE NUMBER 8-69507 ## **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 01/01/2019 | | | AND ENDING 12/31/2019 | | |--------------------------------------------------------------------------|--------------------------------------------------------|---------------|--------------------------------|--| | | MM/DD/YY | | MM/ DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: AXOS INVEST LLC (FKA WISEBANYAN SECURITIES LLC) | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | | 9205 West Russell Road Suite 400 | | | | | | | (No. and Street) | | | | | Las Vegas | NV | | 89117 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | Derrick K. Walsh | | | 858-649-2165 | | | | | | {Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Raphael Goldberg Nikpour Cohen & Sullivan CPA's PLLC | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 97 Froehlich Farm Blvd | Woodbury | NY | 11797 | | | (Address) | (City) | (State) | (Zip Code) | | | | | | | | | CHECK ONE: | | | | | | certifi d Public Accountant | | | | | | Public Accountant | | | | | | B
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 be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-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.** {1}------------------------------------------------ ## **OATH OR AFFIRMATION** | my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of
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AXOS INVEST LLC (FKA WISEBANYAN SECURITIES LLC)
of December 31
2019
are true and correct. I further swear (or affirm) that
neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account
classified solely as that of a customer, except as follows:
ROBIN K. TRIEU
Notary Public • California
San Diego County
Signatu~
Commission # 22-46170
My Comm. Expires Jun 16, 2022
Chief Financial Officer
Title
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This report ** contains (check all applicable boxes):
0 (a) Facing Page.
0 (b) Statement of Financial Condition. | I, Derrick K. Walsh | | , swear (or affirm) that, to the best of | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------|--|------------------------------------------| | | | | | | | | | as | | | | | | | | | | | | [Z] (c) Statement of Income (Loss) or, if there is other comprehensive income in the period(s) presented, a Statement
of Comprehensive Income (as defined in §210.1
-02 of Regulation S-X).
✓ ( d) Statement of Changes in Financial Condition.
0 (e) Statement of Changes in Stockholders' Equity or Partners' or Sole Proprietors' Capital.
D (f) Statement of Changes in Liabilities Subordinated to Claims of Creditors.
(g) Computation of Net Capital.
✓✓
(h) Computation for Determination of Reserve Requirements Pursuant to Rule I 5c3-3.
(i) Information Relating to the Possession or Control Requirements Under Rule 15c3-3.
D U) A Reconciliation, including appropriate explanation of the Computation ofNet Capital Under Rule I 5c3-I and the
Computation for Determination of the Reserve Requirements Under Exhibit A of Rule I 5c3-3.
D (k) A Reconciliation between the audited and unaudited Statements of Financial Condition with respect to methods of
consolidation.
0 (I) An Oath or Affirmation.
D (m) A copy of the SIPC Supplemental Report.
D (n) A report describing any material inadequacies found to exist or found to have existed since the date of the previous audit. | | | | Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.