Full text of THL CAPITAL MARKETS, LLC's X-17A-5 filed 2025-03-03 (period 2024-12-31). 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: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUMBER | |-----------------| | | #### **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **O 1/01/2024** MM/DD/YY AND ENDING 12/31/2024 <sup>~</sup> --------- 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) | | | | | | | |---------------------------------------------------------------------------|--------------------------------|-----------------|--|--|--|--| | Boston | MA | 02110 | | | | | | (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)<br>Six, Cricket Square | George Town | | Grand Cayman | KY 1-11 06 | |-----------------------------------------------------------------------------------|-----------------------|------|--------------|-------------------------------------------| | (Address) | (City) | | (State) | (Zip Code) | | | | 1323 | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, ifappllcable) | | | FOR OFFICIAL USE ONLY | | | | | | | | | | \* Claims for exemption 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 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 are not required to respond unless the form displays a currently valid 0MB control number.** {1}---…Read the full text as markdown