Chief Compliance Officer

0000201843-21-000011.txt : 20210827 0000201843-21-000011.hdr.sgml : 20210827 20210827111738 ACCESSION NUMBER: 0000201843-21-000011 CONFORMED SUBMISSION TYPE: MA/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20210802 DATE AS OF CHANGE: 20210827 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: 211215584 BUSINESS ADDRESS: STREET 1: 6101 CARNEGIE BLVD STREET 2: #210 CITY: CHARLOTTE STATE: NC ZIP: 28209 BUSINESS PHONE: 7049262445 MAIL ADDRESS: STREET 1: 6101 CARNEGIE BLVD STREET 2: #210 CITY: CHARLOTTE STATE: NC ZIP: 28209 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 FIRST TRYON SECURITIES, LLC 7336 First Tryon Advisors 56-1986792 866-00104-00 867-00707 008-21426 7336 MSRB A4993 6101 Carnegie Blvd SUITE 210 CHARLOTTE NC 28209 7049262445 704-372-4617 Y 6101 Carnegie Blvd SUITE 210 CHARLOTTE NC 28209 www.firsttryon.com Tracy Anne Truchon Chief Compliance Officer

6101 Carnegie Blvd Suite 210 Charlotte NC 28209

704-926-2445 704-372-4617 tracy@firsttryon.com Amy Sue Vitner Managing Director

6101 Carnegie Blvd Suite 410 Charlotte NC 28209

704-926-2457 avitner@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 22 12 9 0 0 250 Municipal Entities Non-profit organizations Corporations or other businesses 0 0 0 Hospitals Colleges 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 N Broker-dealer municipal securities dealer or government securities broker or dealer 7 Add Broker-dealer municipal securities dealer or government securities broker or dealer Margaret Brunnemer Carpenter Margaret Brunnemer Carpenter N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Tracy Anne Truchon Tracy Anne Truchon N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer James Walter Goldsmith James Walter Goldsmith N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Heber Keith Brunnemer III Heber Keith Brunnemer III N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Brunnemer & Company Brunnemer & Company Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Brunnemer Childrens GST Investment Trust Dated 12/20/201 Brunnemer Childrens GST Investment Trust Dated 12/20/01 Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer HKBIII GST Trust u/a/d September 5, 2018 HKBIII GST Trust u/a/d September 5, 2018 Y Y N N N N N N N N N N N N N N N 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 Member 01-01-1999 NA N 33824 Heber Keith Brunnemer III Member, President 01-01-2009 A Y 2758256 Raymond nmn Linder Member, SVP 01-01-2001 NA N 2491513 Craig M Wardlaw Jr. Member, SVP 01-01-2008 NA N 5316503 Eric Michael Joseph Member, SVP 01-01-2008 NA N 4001509 Elizabeth Warren Howell Member, SVP 01-01-2010 NA N 4791377 Margaret Brunnemer Carpenter Member, Chief Financial Officer 01-01-2010 NA N 2042716 Tracy Anne Truchon Chief Compliance Officer 11-01-2008 NA N 3094240 Brunnemer & Co. Brunnemer Children's GST Investment Trust DTD 12/20/01 N 14-6223419 Shareholder 12-20-2001 D Y Brunnemer & Co HKBIII GST Trust u/a/d September 5, 2018 N 99-9999999 Shareholder 09-05-2018 C Y Brunnemer Children's GST Investment Trust DTD 12/20/01 Heber Keith Brunnemer III Trustee 12-20-2001 F N 2758256 HKB III GST Trust u/a/d September 5, 2018 Heber Keith Brunnemer III Trustee 11-15-2018 F N 2758256 HKBIII GST Trust u/a/d September 5, 2018 Paul M Hattenhauer Trustee 11-15-2018 F N 000000000 Brunnemer Children's GST Investment Trust DTD 12/20/01 Paul M Hattenhauer Trustee 11-15-2018 F N 000000000 Brunnemer & Company N 56-1154091 Member 01-01-1999 E Y Heber Keith Brunnemer Jr Member 01-01-1999 NA N 33824 Heber Keith Brunnemer III Member, President 01-01-2009 A Y 2758256 Raymond nmn Linder Member, SVP 01-01-2001 NA N 2491513 Craig M Wardlaw Jr. Member, SVP 01-01-2008 NA N 5316503 Eric Michael Joseph Member, SVP 01-01-2008 NA N 4001509 Elizabeth Warren Howell Member, SVP 01-01-2010 NA N 4791377 Margaret Brunnemer Carpenter Member, Chief Financial Officer 01-01-2010 NA N 2042716 Tracy Anne Truchon Chief Compliance Officer 11-01-2008 NA N 3094240 Brunnemer & Co. Brunnemer Children's GST Investment Trust DTD 12/20/01 N 14-6223419 Shareholder 12-20-2001 D Y Brunnemer & Co HKBIII GST Trust u/a/d September 5, 2018 N 99-9999999 Shareholder 09-05-2018 C Y Brunnemer Children's GST Investment Trust DTD 12/20/01 Heber Keith Brunnemer III Trustee 12-20-2001 F N 2758256 HKB III GST Trust u/a/d September 5, 2018 Heber Keith Brunnemer III Trustee 11-15-2018 F N 2758256 HKBIII GST Trust u/a/d September 5, 2018 Paul M Hattenhauer Trustee 11-15-2018 F N 000000000 Brunnemer Children's GST Investment Trust DTD 12/20/01 Paul M Hattenhauer Trustee 11-15-2018 F N 000000000 9-E2 First Tryon Securities LLC 7336 1415862 Tracy Truchon Tracy Truchon Chief Compliance Officer 08-02-2021 N N Y N N Y Y N Y N Y N N N N N N N Y N N