Chief Compliance Officer

0000201843-14-000018.txt : 20141003 0000201843-14-000018.hdr.sgml : 20141003 20141003162032 ACCESSION NUMBER: 0000201843-14-000018 CONFORMED SUBMISSION TYPE: MA PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140825 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRYON SECURITIES, LLC CENTRAL INDEX KEY: 0000201843 IRS NUMBER: 561986792 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA SEC ACT: 1934 Act SEC FILE NUMBER: 867-00707 FILM NUMBER: 141140021 BUSINESS ADDRESS: STREET 1: 1355 GREENWOOD CLIFF STREET 2: SUITE 401 CITY: CHARLOTTE STATE: NC ZIP: 28204 BUSINESS PHONE: 7049262445 MAIL ADDRESS: STREET 1: 1355 GREENWOOD CLIFF STREET 2: SUITE 401 CITY: CHARLOTTE STATE: NC ZIP: 28204 FORMER COMPANY: FORMER CONFORMED NAME: FIRST TRYON SECURITIES LLC DATE OF NAME CHANGE: 20000101 FORMER COMPANY: FORMER CONFORMED NAME: FIRST COMMERCE SECURITIES LLC /BD DATE OF NAME CHANGE: 19961001 FORMER COMPANY: FORMER CONFORMED NAME: BRUNNEMER & CO /BD DATE OF NAME CHANGE: 19960927 MA 1 primary_doc.xml MA 0000201843 XXXXXXXX Tracy Truchon 704-926-2445 tracy@firsttryon.com jimmccoy@firsttryon.com FIRST TRYON SECURITIES, LLC 000007336 First Tryon Advisors 56-1986792 866-00104-00 008-21426 000007336 MSRB A4993 1355 GREENWOOD CLIFF SUITE 401 CHARLOTTE NC 28204 7049262445 704-372-4617 1355 Greenwood Cliff Suite 400 Charlotte NC 28204 704-926-2445 704-372-4617 Y 1355 GREENWOOD CLIFF SUITE 400 CHARLOTTE NC 28204 www.firsttryon.com Tracy Anne Truchon Chief Compliance Officer

1355 Greenwood Cliff Suite 401 Charlotte NC 28204

704-926-2445 704-372-4617 tracy@firsttryon.com Margaret Brunnemer Carpenter Chief Operating Officer

1355 Greenwood Cliff Suite 401 Charlotte NC 28204

704-926-2980 704-372-4617 margaret@firsttryon.com First Tryon Securities LLC D/B/A First Tryon Advisors 1355 Greenwood Cliff Suite 400 Charlotte NC 28204 704-926-2445 704-372-6118 The principal office is located in one building in two separate suites: #401 conducts sales/trading & #400 conducts muni advisory activity. Each has their own mailing address and generally keep their own books/records. Finop & compliance are shared. December NC 07-25-1996 N 22 6 5 0 0 10 Municipal Entities Non-profit organizations Corporations or other businesses 0 0 0 Not Applicable Hourly Charges Fixed Fees Contingent Fees Not Applicable Advice Insurance Of MS Advice Investment Of Proceeds MS Advice ME Investments Advice Guaranteed IC Advice Use Of MD Advice On Selection Brokerage Of MEI Other Advice concerning direct bank loans Y Y Y Y N Broker-dealer municipal securities dealer or government securities broker or dealer 1 N Y N N N N N N N N Y N N N Item 10 Small Business: First Tryon Securities had total gross receipts for it most recnt fiscal year (2013) of slightly more than $7 million. The municipal advisory business had annual receipts of less than $7 million. N N N N N N N N N N N N N N N Y N N N N N N N N N N Brunnemer & Company N 56-1154091 Member 01-01-1999 E Y Heber Keith Brunnemer Jr Managing Member 01-01-1999 NA Y 000033824 Heber Keith Brunnemer III Member, President 01-01-2009 A Y 002758256 Raymond NMN Linder Member, SVP 01-01-2001 NA N 002491513 James Labon McCoy Jr. Member, Executive VP 01-01-2004 NA N 000703071 Craig M Wardlaw Jr. Member, SVP 01-01-2008 NA N 005316503 Eric Michael Joseph Member, SVP 01-01-2008 NA N 004001509 Elizabeth Warren Howell Member, SVP 01-01-2010 NA N 004791377 Margaret Brunnemer Carpenter Member, Chief Operating Officer 01-01-2010 NA N 002042716 Paul Anthony Lozzi Member 01-01-2011 NA N 001182046 James Anthony Posthauer Member 07-01-2011 NA N 001905582 Linda Marie Dennehy Member 01-01-2014 NA N 001445239 Candace Lynn Scappator Chief Financial Officer 11-01-2012 NA N 004697607 Tracy Anne Truchon Chief Compliance Officer 11-01-2008 NA N 003094240 Brunnemer & Company Brunnemer Children's GST Investment Trust Dated 12/20/2001 N 14-6223419 Shareholder 12-20-2001 D Y Brunnemer and Company Heber Keith Brunnemer Jr Shareholder 08-01-1996 C Y 000033824 Brunnemer Children's GST Investment Trust DTD 12/20/01 Heber Keith Brunnemer III Trustee 12-20-2001 C Y 002758256 Brunnemer Children's GST Investment Trust DTD 12/20/01 Margaret Brunnemer Carpenter Trustee 12-20-2001 C Y 002042716 Brunnemer Children's GST Investment Trust DTD 12/20/2001 Anna B Wilder Trustee 12-20-2001 C Y 006246857 Brunnemer & Company N 56-1154091 Member 01-01-1999 E Y Heber Keith Brunnemer Jr Managing Member 01-01-1999 NA Y 000033824 Heber Keith Brunnemer III Member, President 01-01-2009 A Y 002758256 Raymond NMN Linder Member, SVP 01-01-2001 NA N 002491513 James Labon McCoy Jr. Member, Executive VP 01-01-2004 NA N 000703071 Craig M Wardlaw Jr. Member, SVP 01-01-2008 NA N 005316503 Eric Michael Joseph Member, SVP 01-01-2008 NA N 004001509 Elizabeth Warren Howell Member, SVP 01-01-2010 NA N 004791377 Margaret Brunnemer Carpenter Member, Chief Operating Officer 01-01-2010 NA N 002042716 Paul Anthony Lozzi Member 01-01-2011 NA N 001182046 James Anthony Posthauer Member 07-01-2011 NA N 001905582 Linda Marie Dennehy Member 01-01-2014 NA N 001445239 Candace Lynn Scappator Chief Financial Officer 11-01-2012 NA N 004697607 Tracy Anne Truchon Chief Compliance Officer 11-01-2008 NA N 003094240 Brunnemer & Company Brunnemer Children's GST Investment Trust Dated 12/20/2001 N 14-6223419 Shareholder 12-01-2001 D Y 9-E2 First Tryon Securities LLC 000007336 1415862 H. Keith Brunnemer III H. Keith Brunnemer III President 07-28-2014 N N Y N N Y Y Y Y N Y N N N N N N N Y N