Full text of L.O. THOMAS & CO. INC.'s X-17A-5 filed 2021-02-24 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Ll\TJTEDSTATES SECURITIES �'D EXCHANGE COl\l\USSION Washington, D.C. 20549 .. I I 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response ...... 12.00 SEC FILE NUMBER I **B-40875** #### **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** | | FACI:\"GPAGE | |--|--------------| **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 BEG 1 1ITNG 01/01/2020 | -<br>-<br>--<br>------ | AND ENDING 12/31/2020 | | |----------------------------------------------------------------------|----------------------------------------------------------------------------|-----------------------|----------------------------------| | | � 1 MD D ! YY | | (<br>MM!DDYY<br>( | | A. | REGISTRANT IDENTIFICATION | | | | NAME oF BROKER-DEALER: LO. Thomas & Co., Inc. | | | -<br>I<br>OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM LO. NO. | | 2106 New Road -<br>Suite A6 | | | | | | (No and Street) | | | | Linwood | NJ | 08826 | | | (City) | (State) | (Zip Code) | | | | NAJ\H: AND ltLb.PHONb NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | John iN Risley Jr. PresidEflL'CCO | | | 609-927-4044 | | B. | ACCOUNTANT IDENTIFICATION | | (Area Code - T c>lephone Number) | | Michael T. Remus, CPA | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | (Name - if individual, stare last, firsr. middle name) | | | | PO Box 2555 | Hamilton Square | NJ | 08690 | | (Address) | | (State) | (Zip Code) | | CHECK ONE: | | | | | I<br>I<br>✓<br>Certified Public Accountant<br>Public Accountant<br>B | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | | | | FOR OFFICIAL USE ONLY | | | *\*Clai111sfor exemptio11j1·om tl1e requiremem that tl,e annual report be co,·ered by tlle opinion of mi independellf public accountam 11111st be s11pporred by a statement offdcts and circu111sta11ces relied 011 as the basis for the exemption See Sectim1 :;40.17a-5(e){])* > **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 OM B control number.** SEC 1410 (11-05) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I. John W. Ris ley , swear (or affirm) that. t…Read the full text as markdown