Full text of THOMPSON DAVIS & CO., INC.'s X-17A-5 filed 2022-02-23 (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-5 PART** Ill **FACING PAGE** OM S APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-49386 **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 1/01/2021** MM/DD/YY AND ENDING **12/31/2021** MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM : Thompson Davis & Co., Inc. TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer O Security-based swap dealer 0 Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 9030 Stony Point Pkwy, Suite 100 (No. and Street) Richmond VA 23235 {City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING J. Elaine Altizer 804-644-6381 ealtizer@thompsondavis.com (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Keiter (Name - if individua l, state last, first, and middle name) 4401 Dominion Blvd Glen Allen VA (Address) (City) (State) 10/22/2003 80 23060 (Zip Code) rt• of R,.,strntio, wtth PCAOB)(lf appUcable) FOR OFFICIAL USE ONLY (PCAOB R,g;suatioo **N"mbec,** ff appllcabl,) 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 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}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, J. Elaine Altizer | swear (or affirm) that, to the best of my knowledge and belief, the | |--------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | financial report pertaining to the firm of Thompson Davis & Co., Inc. | as…Read the full text as markdown