0000201843-21-000013.txt : 20210826 0000201843-21-000013.hdr.sgml : 20210826 20210826130656 ACCESSION NUMBER: 0000201843-21-000013 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 WOODWARD,RICHARD,THOMAS, FILED AS OF DATE: 20210805 DATE AS OF CHANGE: 20210826 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-I/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-03301 FILM NUMBER: 211210998 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-I/A 1 primary_doc.xml MA-I/A 0000201843 XXXXXXXX Tracy Truchon 704-926-2445 tracy@firsttryon.com wgoldsmith@firsttryon.com N Y Richard Thomas Woodward 2531717 N 1 0000201843 FIRST TRYON SECURITIES, LLC First Tryon Securities LLC dba First Tryon Advisors 06-15-2018 N 867-00707 SUPERVISED 06-15-2018 1355 GREENWOOD CLIFF SUITE 401 CHARLOTTE NC 28204 LOCATED 06-15-2018 Tom NMN Woodward 06-2018 First Tryon Advisors Charlotte NC 28204 Y Y Director 09-2017 05-2018 Unemployed Atlanta GA 30327 N N Unemployed 09-2016 08-2017 Thermaldyne LLC Atlanta GA 30342 N N CFO 01-2013 08-2016 Stifel Nicolaus Atlanta GA 30326 Y Y Public Finance 12-2005 01-2013 Scott & Stringfellow Atlanta GA 30326 Y Y Investment Banker Y 06-2018 ICF Global 6300 Powers Ferry Rd Suite 600 Atlanta GA 30339 N N Pass through entity coordinating US lender to international borrowers CEO 2 CEO 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 N N N N N N N N N N N N N N N N N N N N 08-05-2021 Tracy Truchon Chief Compliance Officer