Axos Clearing LLC

08/23/2024 | Press release | Distributed by Public on 08/23/2024 18:32

Information Required of Brokers and Dealers Form X 17A 5

Form X-17A-5 Filer Information UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL AUDITED REPORT
Form X-17A-5
Part III

FACING PAGE
Information Required of Brokers and Dealers Pursuant to Section 17 of the
Securities Exchange Act of 1934 and Rule 17a-5 Thereunder
OMB APPROVAL

FORM X-17A-5

OMB Number: 3235-0123

Estimated average burden hours per response: 12.00

X-17A-5: Filer Information

Filer CIK
0001146205
Filer CCC
XXXXXXXX
Is this a LIVE or TEST Filing? LIVE TEST
Would you like a Return Copy?
Is this an electronic copy of an official filing submitted in paper format?
Confirming Copy File Number

Submission Contact Information

Name
Phone
E-Mail Address
Notify via Filing Website only?

X-17A-5: Submission Information

Report for the Period Beginning
07-01-2023
and Ending
06-30-2024
Type of Registrant Broker-dealer
OTC derivatives dealer

Material Weakness

Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses? Yes No

X-17A-5: A. Registrant Identification

Name of Broker-dealer
AXOS CLEARING LLC

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1
15950 WEST DODGE ROAD
Address 2
SUITE 300
City
OMAHA
State/Country
NEBRASKA
Mailing Zip/ Portal Code
68118

Name and Telephone Number of Person to Contact in Regard to this Report

Name
Howard Green
Telephone Number
4023842055

X-17A-5: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name
BDO USA, P.C.
Address 1
200 Park Avenue, 38th Floor
City
New York
State/Country
NEW YORK
Mailing Zip/ Postal Code
10166
Check One Certified Public Accountant
Certified Public Accountant not resident in United States or any of its possessions

X-17A-5: Signature

Oath or Affirmation

I, Howard Green, swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of AXOS CLEARING LLC, as of 06-30-2024, 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:
Signature
Howard Green
Title
CFO

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.