Full text of L.O. THOMAS & CO. INC.'s X-17A-5 filed 2023-03-30 (period 2022-12-31). 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** | 0MB APPROVAL | |--------------------------| | 0MB Number'. 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated aver~ge burden | | hours pe;r response: 12 | # **ANNUAL REPORTS FORM X-17 A-5 PART Ill** | SEC FILE NUMBER | | |-----------------|--| | 8-40875 | | MM/DD/YY **FACING PAGE** Information Required Pursuant to Rules **17a•5,** 17a-IZ, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING **12/31/2022** FILING FOR THE PERIOD BEGINNING **Q 1/01/2022** MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAMEoFr-iRM: LO. Thomas & Co., Inc. TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer ::J Security-based swap dealer 0 Major security-based swap participant C Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 2106 New Road Suite A6 | | | {No. and Street) | | |----------------------------------------------|---------|------------------------------|--------------------------| | | Linwood | NJ | 08221 | | | (City) | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | John Risley | | 609-927-4044 | john.risley@lothomas.com | | {Name) | | (Area Code-Telephone Number) | (Email Address) | #### **B. ACCOUNTANT IDENTIFICATION** #### INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* #### Michael T Remus CPA | Hamilton Square | | | | |-----------------|------------------------------------------------------------------|------------|--| | | NJ | 08690 | | | (City) | (State] | {Zip Code) | | | | 3598 | | | | | IPCAOB Reglmatloo Norr>be<, tt applicable) | | | | | | | | | | of Re,ls,<at;oo wl<h PCAOB)llf appll<able) FOR 0FFIOAL USE ONL y | | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountam must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CfR 240.17a-5(e)(ll{ii), if applicable, Persons who are to res l)ond to the collection of information conta im:d in th is form are not reqt.1ired to respond unless the form displays a currently valid 0MB control number. {1}------------------------------------------------ #### OATH **OR AFFIRMATION** I, John Risley swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of LO Thom…Read the full text as markdown