Full text of AXOS INVEST LLC's X-17A-5 filed 2023-03-29 (period 2022-12-31). 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 1 , 2022 {1}------------------------------------------------ Table of Contents December 3 I, 2022 | Report oflndependent Registered Public Accounting Firm | Page<br>l | |--------------------------------------------------------|-----------| | Financial Statement | | | Statement of Financial Condition | | | Notes to Financial Statement | | {2}------------------------------------------------ | | UNITED STATES | | | 0MB APPROVAL | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------|-----------------------------------------|-------------------------------------------------------------------------------------------------------|---------------------|--| | SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | 0MB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response: 12 | | | | | ANNUAL REPORTS | | | | | | | | | | SEC FILE NUMBER | | | FORM X-17A-5<br>PART Ill | | | | 8-69507 | | | | | | | | | | | FACING PAGE | | | | | | Information Required Pursuant to Rules 17a-S, 17a-12, and lSa-7 under the Securities Exchange Act of 1934 | | | | | | | FILING FOR THE PERIOD BEGINNING O 1/01/2022 | AND ENDING 12/31/2022 | | | | | | MM/DD/VY | | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME oF FIRM : Axos Invest LLC | | | | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | □ Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 9205 West Russell Road Suite 400 | | | | | | | | (No. and Street) | | | | | | Las Vegas | NV | | | 89148 | | | (City) | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Derrick K. Walsh | | | | dwalsh@axosbank.com | | | (Name) | (858) 649-2165<br>(Area Code -Telephone Number)<br>(Email Address) | | | | | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained i…Read the full text as markdown