Full text of THOMPSON DAVIS & CO., INC.'s X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | 0MB APPROVAL | |-------------------------------| | 3235-0123<br>0MB Number: | | August 31 , 2020 | | Estimated average burden | | hours per response<br>. 12.00 | | | | | SEC FILE NUMBER | |---------|-----------------| | B-49386 | | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINN ING | ------<br>----<br>01/01/2019<br>- | AND ENDING | -----------<br>12/31/2019 | | | | |----------------------------------------------------------------------------------------------|-------------------------------------------------------------|------------|--------------------------------|--|--|--| | M M/DD/YY<br>M M/DD/YY<br>A. REGISTRANT IDENTIFICATION | | | | | | | | NAME OF BROKER-DEALER: | Thompson Davis & Co., Inc. | | OFFICIAL USE ONLY | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | | | 9030 Stony Point Parkway, Suite 100 | | | | | | | | | (No. and Street) | | | | | | | Richmond | VA | | 23235 | | | | | (City) | (State) | | (Zip Code) | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>J. Elaine Altizer | | | 804-644-6381 | | | | | | | | (Arca Code - Telephone Number) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report *<br>Keiter | | | | | | | | | (Name - if i11dirid11al. state last. first. middle 11a111e) | | | | | | | 4401 Dominion Blvd. | Glen Allen | VA | 23060 | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | CHECK ONE:<br>I<br>✓<br>certified Public Accountant | | | | | | | | Public Accountant | | | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption ji-0 111 the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of f acts and circumstances relied on as the basis for the exemption. See Section 2./0. I 7a-5(e)(2)* > **Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a…Read the full text as markdown