Full text of THOMPSON DAVIS & CO., INC.'s X-17A-5/A filed 2023-02-28 (period 2022-12-31). 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 | | | 0MB APPROVAL | | |--------------------------|----| | 0MB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: | 12 | SEC FILE NUMBER 8-49386 **FACING PAGE** **PART** Ill **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 1/01/2022** MM/DD/YY AND ENDING **12/31/2022** MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Thompson Davis & Co., Inc. TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant 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 | 4401 Dominion Blvd | (Name - if individual, state last, first, and middle name)<br>Glen Allen | | VA | 23060 | |----------------------------------------------|--------------------------------------------------------------------------|----|---------|----------------------------------------------| | (Address) | (City) | | (State) | (Zip Code) | | 10/22/2003 | | 80 | | | | rte of Reglstrat;oa with PCAOB)(IT appU~ble) | | | | {PCAOB R,g;,trat;o, Numbe,, ff a ppHca ••I I | | | FOR OFFICIAL USE ONLY | | | | \* 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}------------------------------------------…Read the full text as markdown