Full text of L.O. THOMAS & CO. INC.'s X-17A-5 filed 2022-03-04 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMBAPPROVAL 0MB Number: 3235--0123 Expires: Oct. 31, 2023 Estimared average burd€n hours per response: 12 > SEC FILE NUMBER 8-40875 # **ANNUAL REPORTS FORM X-17A-S PART Ill** **FACING PAGE** | | Information Required Pursuant to Rules 17a-5, 17a-12, and lBa-7 under the Securities Exchange Act of 1934 | | | | | |--------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------|------|-------------------------------------------|------------|--| | FILING FOR THE PERIOD BEGINNING 01 /Q 1 /2021 | | | AND ENDING 12/31/2021 | | | | | MM/DD/YY | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAMEoFFJRM: LO. Thomas & Co., Inc. | | | | | | | TYPE OF REGJSTRANT (check all applicable boxes):<br>~ Broker-dealer<br>=· 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.) | | | | | | 2106 New Road Suite A6 | | | | | | | | {No. and Street) | | | | | | | Linwood<br>NJ | | 08221 | | | | {City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | John Risley | 609-927-4044 | | john .ris ley@I othomas. com | | | | (Name) | (Area Code-Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | Michael T Remus CPA | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing"' | | | | | | | (Name - if individual, state last, first, and middte name) | | | | | | PO Box 2555 | Hamilton Square | | NJ | 08690 | | | (Addre.ss) | (City) | | (State) | /Zip Code) | | | 02/23/2010 | | 3598 | | | | | (Date of Registration with PCAOB)(lf applicable) | FOR OFFICIAL USE ONLY | | (PCAOB Reglstrauon Number, if applicable) | | | .. ctaims for exemption from the requirement that the annual reports be covered by the reports of an inaependent public account.mt must be supported by a statement of fact!i 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 respond to the collection** of **information contained** in **this** form **ere not required to respond unless the** form…Read the full text as markdown