Full text of L.O. THOMAS & CO. INC.'s X-17A-5 filed 2026-03-30 (period 2025-12-31). 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 | OMS Number: 3235--0123 | | | |--------------------------|--|--| | EICplres: NOii. 30, 2026 | | | | Estimated average burden | | | | hours per response: 12 | | | | | | | | SEC FIL£ NUMBER | | | | | | | # ANNUAL REPORTS FORM X-17A-5 PART Ill | | FACING PAGE | | | | |----------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------|------------------------------------------------------------|--------------------------------------------|--------------------------| | Information Required Pursuant to Rules l7a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | FILING FOR THE PERIOD BEGINNING 01/01/2025 | MM/DD/YV | AND ENDIN{; 12/31/2025<br>MM/DD/VY | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME0FFlRM: L .0. THOMAS & co., INC. | | | | | | TYPE OF REGISTRANT {check all applicable boxes):<br>[!] Broker-dealer<br>D Check here if respondent is also an OTC derivat ives dealer | D Security-based swap dealer | | D 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 | NEW JERSEY | | | 08221 | | (City) | | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | John W. Risley, Jr. | 609-927 -4044 | | | john.ristey@tothomas.com | | (Name) | (Area Code -Telephone Number)<br>{Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained In this filing*<br>JOSEPH FERRARA CPA | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | 100 HorizonCenter #112 | | Hamilton | NJ 08691 | | | (Address)<br>12/17/2024 | (City) | | (State)<br>7259 | (Zip Code) | | (Date of Registra~ion with PCAOB)(if applicable) | | | (PCAOB Registration Number, if appllcable' | | | | | FOR OFFfCIAL USE ONl Y | | | • Claims for eJCemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as t he basis of the. exemption. See 17 CFR 240.17a-S(e)(1)(ii), if applicable. Persons who are to respond to the callection ot information contained in this form a…Read the full text as markdown