Full text of THOMPSON DAVIS & CO., INC.'s X-17A-5 filed 2024-02-26 (period 2023-12-31). 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** | SEC FILE NUMBER | |-----------------| MM/DD/VY **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 1/01/2023** MM/DD/YY AND ENDING **12/31/2023 A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: Thompson Davis & Co., Inc. TYPE OF REGISTRANT (check all applicable boxes): C!l Broker-dealer D 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 Parkway, 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 | VA<br>(State) | 23060<br>(Zip Code) | |---------------|---------------------| | | | | | | | 80 | | | | | | | | | | | \* 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 of | | 2~,<br>12/31 | is true and correct. I fu…Read the full text as markdown