Full text of L.O. THOMAS & CO. INC.'s X-17A-5 filed 2024-03-15 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|---------------------------|--------------------------------------------|--| | | ANNUAL REPORTS | | SECFILE NUMBER | | | | FORM X-17A-5 | | 8-40875 | | | | PART III | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | FILING FOR THE PERIOD BEGINNING 01/01/2023 | AND ENDING 12/31/2023 | | | | | | MM/DD/YY | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: L.O. Thomas & Co., Inc. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer - Di Security-based swap dealer<br>Check here if respondent is also an OTC derivatives dealer | L 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 | NJ | | 08221 | | | (City) | (State) | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | John Risley | 609-927-4044 | john .risley@lothomas.com | | | | (Nome) | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT DENTIFICATION | | | | | Michael T Remus CPA | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing * | | | | | | (Name - if individual, state last, first, and middle name) | | | | | PO Box 2555 | Hamilton Square NJ | | 08690 | | | (Address)<br>02/23/2010 | (City)<br>3598 | (State) | (Zip Code) | | | (Date of Registration with PCAOB)(if applicable) | | | IPCAGB Registration Number, if application | | | | FOR OFFICIAL USE ONLY | | | | | | * Claims for exemption from the regallement that the annual 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-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not reguired to respond unless the form disolavs a currently valid OMB control number. {1}-------------------------------------------…Read the full text as markdown