Full text of AXOS INVEST LLC's X-17A-5 filed 2024-02-29 (period 2023-12-31). 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 31, 2023 {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | 0MB APPROVAL | | |--------------------------|--| | 0MB Number: 3235-0123 | | | Expires: Nov. 30, 2026 | | | Estimated average burden | | | hours per response: 12 | | # **ANNUAL REPORTS FORM X-17A-5 PART Ill** | SEC FILE NUMBER | | |-----------------|--| | 8-69507 | | **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING O 1 /0.1 /2p23< | | AND ENDING 12/31/2023 | |-------------------------------------------------|----------|-----------------------| | | MM/DD/YY | MM/DD/YY | | | | | A. REGISTRANT IC>ENTIFIC.ATION # NAME OF FIRM: Axos Invest LLC TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives 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 | | | 89148 | |--------|----------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | | | (Zip Code) | | | | | | | | dwalsh@axosbank.com | | | (Email Address) | | | | | | | | | | | | | | | | FL | 33607 | | (City) | (State) | (Zip Code) | | | | | | | 5036 | (PCAOB ,,,;,u,,;o, Nombec, " appl;cabl,) I | | | PERSON TO CONTACT WITH REGARD TO THIS FILING<br>Assurance Dimensions | (No. and Street)<br>NV<br>(State)<br>(858) 649-2165<br>(Area Code -Telephone Number)<br>B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>(Name - if individual, state last, first, and middle name)<br>4920 W Cypress Street Suite 102 Tampa | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. **Persons who are to resp…Read the full text as markdown