Full text of THL CAPITAL MARKETS, LLC's X-17A-5 filed 2023-02-28 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | | OMB APPROVAL | | | | | |-----------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------|----------------------------------------------------|--|--|--|--| | SECURITIES AND EXCHANGE COMMISSION | | OMB Number: 3235-0123 | | | | | | | Washington, D.C. 20549 | | | Expires: Oct. 31, 2023<br>Estimated average burden | | | | | | | | | 12<br>hours per response: | | | | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | | | | FORM X-17/AS | | 8-70807 | | | | | | PART III | | | | | | | | | | | | | | | | | | FACING PAGE | | | | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | | | | | | | | | | | | AND ENDING 12/31/22<br>filing for the period beginning 09/27/22 | | | | | | | | | MM/DD/YY | MM/DD/YY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | NAME OF FIRM: THL Capital Markets, LLC | | | | | | | | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | | | | @ Broker-dealer _____ Security-based swap dealer ___ Major security-based swap participant | | | | | | | | Check here if respondent is also an OTC derivatives dealer | | | | | | | | | | | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 100 Federal Street | | | | | | | | | | (No. and Street) | | | | | | | | | MA | | 02110 | | | | | | Boston | | | | | | | | | (City) | (State) | | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | Gregory Maxon | 617-227-1050 | GMaxon@THL.com | | | | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | | | | | | | | | KPMG LLP | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | 60 South Street | Boston | Ma | 02111 | | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | | 10/2012003 | | 185 | | | | | | | | (Date of Registration with PCAOB)(if applicable)<br>(PCAOB Registration Number, if applicab…Read the full text as markdown