Full text of FIRST TRYON SECURITIES, LLC's X-17A-5 filed 2022-03-01 (period 2021-12-31). 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 **ANNUAL REPORTS FORM X-17A-S PART** Ill **FACING PAGE** 0M B APPROVAL 0MB Number: 3235-0123 Expires: Oct . 31, 2023 Estimated ave rage burden hours per response: 12 SEC FILE NUMBER **8-21426 Information Required Pursuant to Rules 17a-5, 17a-1Z, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **01/01/2021** MM/DD/VY **AND ENDING 12/31/2021** MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: First Tryon Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer D Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 6101 Carnegie Blvd , Suite 210 {No. and Street) Charlotte NC {City) {State) PERSON TO CONTACT WITH REGARD TO THIS FILING 28209 (Zip Code) Margaret Carpenter 704-926-2980 margaret@firsttryon.com (Name) {Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* GreerWalker LLP {Name - if individual, state last, first, and middle name) 227 W. Trade Street, Suite 1100 {Address) 06/07/2005 Charlotte (City) **2324** NC (State) 28202 (Zip Code) **FOR OFFICIAL USE ONLY [PCAOB Reg;,t,at;o, N,mbec, ,f applkable)** I \* 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 offacts and ci rcumstances 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}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, H. Keith Brunnemer, 111 | swear (or affirm) that, to the best of my knowledge and belief, the | |------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------| | financial report pertaining to the firm of First Tryon Securities, LLC | as of | | 2~,<br>Dece~ ?er 31 | is true and correct. I further swear (or affirm) that neither the company nor any |…Read the full text as markdown