0000201843-15-000016.txt : 20151202
0000201843-15-000016.hdr.sgml : 20151202
20151202172149
ACCESSION NUMBER: 0000201843-15-000016
CONFORMED SUBMISSION TYPE: MA/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20151202
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 867-00707
FILM NUMBER: 151265582
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/A
1
primary_doc.xml
MA/A
0000201843
XXXXXXXX
Tracy Truchon
704-926-2445
tracy@firsttryon.com
wgoldsmith@firsttryon.com
FIRST TRYON SECURITIES, LLC
000007336
First Tryon Advisors
56-1986792
866-00104-00
867-00707
008-21426
000007336
MSRB
A4993
1355 GREENWOOD CLIFF
SUITE 401
CHARLOTTE
NC
28204
7049262445
704-372-4617
Add
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
Tyler
Erik
Traudt
Vice President/Analyst
1355 Greenwood Cliff
Suite 400
Charlotte
NC
28204
704-831-5035
ttraudt@firsttryon.com
Add
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
19
7
7
0
0
55
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
Y
Y
Y
Y
N
0
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Item 10 Small Business: First Tryon Securities had total gross receipts for it most recent fiscal year (2014) 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
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
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
Add
Brunnemer & Company
N
56-1154091
Member
01-01-1999
E
Y
Add
Heber
Keith
Brunnemer Jr
Managing Member
01-01-1999
NA
Y
000033824
Add
Heber
Keith
Brunnemer III
Member, President
01-01-2009
A
Y
002758256
Amend
Raymond
nmn
Linder
Member, SVP
01-01-2001
NA
N
002491513
Add
Craig
M
Wardlaw Jr.
Member, SVP
01-01-2008
NA
N
005316503
Add
Eric
Michael
Joseph
Member, SVP
01-01-2008
NA
N
004001509
Add
Elizabeth
Warren
Howell
Member, SVP
01-01-2010
NA
N
004791377
Add
Margaret
Brunnemer
Carpenter
Member, Chief Operating Officer
01-01-2010
NA
N
002042716
Add
Paul
Anthony
Lozzi
Member
01-01-2011
NA
N
001182046
Add
Candace
Lynn
Scappator
Chief Financial Officer
11-01-2012
NA
N
004697607
Add
Tracy
Anne
Truchon
Chief Compliance Officer
11-01-2008
NA
N
003094240
Add
Brunnemer & Company
Brunnemer Children's GST Investment Trust Dated 12/20/2001
N
14-6223419
Shareholder
12-20-2001
D
Y
Add
Brunnemer and Company
Heber
Keith
Brunnemer Jr
Shareholder
08-01-1996
C
Y
000033824
Add
Brunnemer Children's GST Investment Trust DTD 12/20/01
Heber
Keith
Brunnemer III
Trustee
12-20-2001
C
Y
002758256
Add
Brunnemer Children's GST Investment Trust DTD 12/20/01
Margaret
Brunnemer
Carpenter
Trustee
12-20-2001
C
Y
002042716
Add
Brunnemer Children's GST Investment Trust DTD 12/20/2001
Anna
B
Wilder
Trustee
12-20-2001
C
Y
006246857
9-E2
First Tryon Securities LLC
000007336
1415862
Tracy A. Truchon
Tracy A. Truchon
Chief Compliance Officer
12-02-2015
N
N
Y
N
N
Y
Y
Y
Y
N
Y
N
N
N
N
N
N
N
Y
N