Full text of THOMPSON DAVIS & CO., INC.'s X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITE DSTATES SECLIRI TIESANDEXCHANGECOMMISSION Washington, D.C. 20549** | ANNUAL<br>AUDITED<br>REPORT | | |-----------------------------|--| | FORM<br>X-17A-5 | | | PART<br>III | | | | 0MB APPROVAL | | | | |--------------------------|--------------|----------------------------|--|--| | 0MB Number: | | 3235-0123 | | | | Expires: | | October 31, 2023 | | | | Estimated average burden | | | | | | | | hours per response 12.00 | | | | | SEC FILE NUMBER | |---------|-----------------| | 8-49386 | | **FACING PAGE Information Required of Brokers and Uealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule l7a-S Thereunder** | REPORT FOR THE PERIOD BEGINNING 01/01/2020 | | AND ENDING 12/31/2020 | | |-------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--| | MM/DD/YY | | MM/DD/YY | | | | | | | | Davis<br>&<br>Co<br>NAME or BROKER-DEALER: Thompson<br>., Inc.<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | OFFICIAL USE ONLY<br>FIRM I.D. NO. | | | | | | | | (No. and Street) | | | | | VA | 23235 | | | | (State) | (Zip Code) | | | | | 804-644-6381 | | | | | | (Area Code- Telephone Number) | | | | | | | | Glen<br>Allen | VA | 23060 | | | (City) | (State) | (Zip Code) | | | FOR OFFICIAL USE ONLY | | | | | | REGISTRANT<br>Suite<br>100<br>ACCOUNTANT | IDENTIFICATION<br>NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>(Name. - !f' indil'idual, slate last. firs!, middle 11ame)<br>Accountant not resident in United States or any of its possessions. | | *\*Claims.for exemption.from the requirement that the annual report be covered by the opinion of an i11dependent public accountant must be supported by a statement off acts and circumstances relied on as the basis for the exemption. See Section 2./0. 17a-5{e}(2)* > **Potential persons who are to respond to the collection of information contained in this form are not required to r…Read the full text as markdown