# EDGAR Filing Document

**Accession Number:** 0000201843
**File Stem:** 0000201843-23-000020
**Filing Date:** 2023-2
**Character Count:** 3181
**Document Hash:** beb53889f9b65beb1711b6a4fbcdd712
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000201843-23-000020.hdr.sgml**: 20230428

**ACCESSION NUMBER**: 0000201843-23-000020

**CONFORMED SUBMISSION TYPE**: MA-W

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230228

**DATE AS OF CHANGE**: 20230428

**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-W
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-00707
- **FILM NUMBER:** 23860238

**BUSINESS ADDRESS:**
- **STREET 1:** 6101 CARNEGIE BLVD
- **STREET 2:** #210
- **CITY:** CHARLOTTE
- **STATE:** NC
- **ZIP:** 28209
- **BUSINESS PHONE:** 7049262980

**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

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA-W

### NOTICE OF WITHDRAWAL FROM REGISTRATION AS A MUNICIPAL ADVISOR

### Filer Information

**Filer CIK:** 0000201843

**Filer CCC:** XXXXXXXX

**File Number:** 867-00707

### Notification Information

**Notification Email Address:** margaret@firsttryon.com

### Item 1: Identifying Information

**A. Full Legal Name:** FIRST TRYON SECURITIES, LLC

**B. SEC File Number:** 867-00707

### Item 2: Contact Person

**Name, title, and contact information:**

- **Name:** Margaret Brunnermer Carpenter

- **Title:** Chief Compliance Officer

- **Address:** 6101 Carnegie Blvd, Suite 210, Charlotte, NC, 28209

- **Telephone Number:** 704-926-2980

- **Email Address:** margaret@firsttryon.com

### Item 3: Money Owed to Clients

**A. Has the registrant received any pre-paid municipal advisory fees for municipal advisory activities, including pre-paid services and subscription fees for publications, that have not been delivered?** No

**B. Borrowed any money from clients that has not been repaid?** No

### Item 4: Advisory Contract Assignments

**Has the registrant assigned any contracts to another person that engages in municipal advisory activities?** Yes

### Item 5: Judgments and Liens

**Are there any unsatisfied judgments or liens against the registrant?** No

### Item 6: Books and Records (from Schedule W1)

**Person with Custody:**

- **Name and business address:** Margaret Carpenter, 6101 Carnegie Blvd, Suite 210, CHARLOTTE, NC, 28209

**Location of Books and Records:**

- **Name of Location, if any:** —

- **Address:** 6101 Carnegie Blvd, CHARLOTTE, NC, 28209

- **Briefly describe the books and records kept at this location:** Client files, policies and procedures, communications, corporate formation, MA registrations, employee info and financial records

### Execution