Full text of AXOS INVEST LLC's X-17A-5 filed 2022-02-25 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **Axos Invest LLC** Statement of Financial Condition December 3 I, 2021 {1}------------------------------------------------ # **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 8-69507 **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 0110112021 | ---------- | -----------<br>AND ENDING 1213112021<br>MM/DD/VY | | | | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|--------------------------------------------------|-----------------|-------------------------------------------|--|--| | | MM/DD/VY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME OF FIRM: Axos Invest LLC | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>.i Broker-dealer<br>□ Security-based swap dealer<br>□ Major security-based swap participant<br>D Check here if respondent is also an OTC derivatives dealer | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 9205 W Russell Rd Suite 400 | | | | | | | | (No. and Street) | | | | | | | | Las Vegas | | NV | | 89148 | | | | (City) | | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Derrick K. Walsh | 858-649-2165 | | | dwalsh@axosbank.com | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | Raphael Goldberg Nikpour Cohen & Sullivan, CPA's PLLC | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 97 Froehlich Farm Blvd | Woodbury | | NY | 11797 | | | | (Address) | (City) | | (State) | (Zip Code) | | | | 02/23/2010 | | | 5028 | | | | | T"<br>of Regj<trnUoo w;th PCAOB)(;f apphcable) | | | | (PCAOB R,g;suauoo Nombec, ;f apphcable) I | | | | | FOR OFFICIAL USE ONLY | | |…Read the full text as markdown