Full text of FIRST TRYON SECURITIES, LLC's X-17A-5 filed 2023-03-01 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ OMB APPROVAL UNITED STATES OMB Number: 3235-0123 SECURITIES AND EXCHANGE COMMISSION Expires: Oct. 31, 2023 Washington, D.C. 20549 Estimated average burden hours per response: 12 ANNUAL REPORTS SEC FILE NUMBER FORM X-17A-5 PART III 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 01/01/22 12/31/22 AND ENDING MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: First Tryon Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): Security-based swap dealer = Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 6101 Carnegie Blvd, Suite 210 (No. and Street) Charlotte NC 28209 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING 704-926-2980 Margaret Carpenter 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 Charlotte NC 28202 (Address) (City) (State) (Zip Code) 06/07/2005 2324 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement 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 required to respond unless the form displays a currently valid OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION | H. Keith Brunnemer, III | swear (or affirm) that, to the best of my knowledge and belief, the | |------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------| | tinancial report pertaining to the firm of First Tryon Securities, LLC | as of | | 12/31 | 2 022 | | | partner, officer, direase of the case may be, has any proprietary interest in any account classified solely | | as that of a customer BRIANA | | | પ્રમુડી | Signature: | | AUQU | Title:<br>Mana…Read the full text as markdown