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Investment Adviser Firm Summary

THOMPSON DAVIS & CO., INC. (CRD# 41353 / SEC# 8-49386, 801-67447)
Alternate Names: BLOOMBERG SECURITIES, INC. , NET SECURITIES CORP. , THOMPSON DAVIS & CO., INC. , THOMPSON DAVIS ASSET MANAGEMENT , THOMPSON DAVIS PRIVATE WEALTH MANAGEMENT , ZERMATT WEALTH PARTNERS

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/09/2007

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 02/07/2011
Arizona 07/29/2011
California 02/09/2007
Colorado 06/02/2010
Connecticut 06/02/2010
Delaware 06/08/2010
District of Columbia 11/03/2011
Florida 02/09/2007
Georgia 02/09/2007
Idaho 06/02/2010
Illinois 06/02/2010
Indiana 06/03/2010
Kentucky 04/26/2011
Louisiana 02/13/2009
Maryland 02/09/2007
Massachusetts 02/09/2007
Michigan 09/10/2015
Minnesota 10/29/2013
Mississippi 09/10/2015
Missouri 06/02/2010
Nevada 02/03/2012
New Hampshire 02/13/2009
New Jersey 06/11/2007
New Mexico 11/28/2007
New York 02/09/2007
North Carolina 02/09/2007
Ohio 02/09/2007
Oklahoma 02/09/2007
Oregon 02/09/2007
Pennsylvania 06/02/2010
South Carolina 11/28/2007
Texas 02/09/2007
Virginia 02/09/2007
Washington 05/13/2011
Wisconsin 08/14/2014

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser