0001017284-14-000006.txt : 20140509 0001017284-14-000006.hdr.sgml : 20140509 20140509085017 ACCESSION NUMBER: 0001017284-14-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140331 FILED AS OF DATE: 20140509 DATE AS OF CHANGE: 20140509 EFFECTIVENESS DATE: 20140509 FILER: COMPANY DATA: COMPANY CONFORMED NAME: THOMPSON DAVIS & CO., INC. CENTRAL INDEX KEY: 0001017284 IRS NUMBER: 133848035 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15833 FILM NUMBER: 14827099 BUSINESS ADDRESS: STREET 1: 15 SOUTH 5TH STREET STREET 2: 16TH FLOOR CITY: RICHMOND STATE: VA ZIP: 23219 BUSINESS PHONE: 804-644-6380 MAIL ADDRESS: STREET 1: PO BOX 1854 STREET 2: 16TH FLOOR CITY: RICHMOND STATE: VA ZIP: 23218 FORMER COMPANY: FORMER CONFORMED NAME: NET SECURITIES CORP. DATE OF NAME CHANGE: 20020425 FORMER COMPANY: FORMER CONFORMED NAME: NET SECURITIES CORP DATE OF NAME CHANGE: 20020425 FORMER COMPANY: FORMER CONFORMED NAME: BLOOMBERG SECURITIES INC /BD DATE OF NAME CHANGE: 19961105 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001017284 XXXXXXXX 03-31-2014 03-31-2014 THOMPSON DAVIS & CO., INC.
PO BOX 1854 16TH FLOOR RICHMOND VA 23218
13F HOLDINGS REPORT 028-15833 N
Walter H. Young III Chief Compliance Officer (804) 644-6392 Walter H. Young III Richmond VA 05-09-2014 0 833 60226 false
INFORMATION TABLE 2 td1q14.xml THOMPSON DAVIS ASSET MANAGEMENT 2014 1ST QTR 13F-HR FILING A/O 3/31 AMN HEALTHCARE SVCS INC COM 001744101 10 750 SH SOLE 0 0 750 AOL INC COM 00184X105 11 250 SH SOLE 0 0 250 ARC DOCUMENTSOLUTIONS INC COM 00191G103 225 30250 SH SOLE 0 0 30250 AT&T INC COM 00206R102 47 1342 SH SOLE 0 0 1342 AU OPTRONICS CORP SPONSORED ADR 002255107 0 46 SH SOLE 0 0 46 ABAXIS INC COM 002567105 39 1000 SH SOLE 0 0 1000 ACACIA RESH CORP ACACIA TCH COM 003881307 457 29900 SH SOLE 0 0 29900 ACADIA HEALTHCARE CO INC COM 00404A109 0 0 SH SOLE 0 0 0 ACCELERATE DIAGNOSTICS INC COM 00430H102 8 375 SH SOLE 0 0 375 ACCURAY INC COM 004397105 180 18750 SH SOLE 0 0 18750 ACORDA THERAPEUTICS INC COM 00484M106 10 250 SH SOLE 0 0 250 ACURA PHARMACEUTICALS INC COM NEW 00509L703 0 32 SH SOLE 0 0 32 ADOBE SYS INC COM 00724F101 140 2125 SH SOLE 0 0 2125 ADVANCED PHOTONIX INC CL A 00754E107 345 551905 SH SOLE 0 0 551905 ADVANCED ENERGY INDS COM 007973100 6 250 SH SOLE 0 0 250 ADVENT CLAYMORE CONV SEC INC FD COM 007639107 0 7 SH SOLE 0 0 7 AETRIUM INC COM NEW 00817R202 114 24420 SH SOLE 0 0 24420 AFFYMETRIX INC COM 00826T108 7 1000 SH SOLE 0 0 1000 AKORN INC COM 009728106 6 250 SH SOLE 0 0 250 ALCOA INC COM 013817101 252 19614 SH SOLE 0 0 19614 ALCATEL-LUCENT SPONSORED ADR 013904305 65 16704 SH SOLE 0 0 16704 ALEXION PHARMACEUTICALS INC COM 015351109 4 24 SH SOLE 0 0 24 ALIGN TECHNOLOGY INC COM 016255101 41 800 SH SOLE 0 0 800 ALLIANCE FIBER OPTIC PRODS INC COM NEW 018680306 4 250 SH SOLE 0 0 250 ALLIANCEBERSTEIN GBL HIGH INCOME COM 01879R106 44 3000 SH SOLE 0 0 3000 ALLSCRIPTS HEALTHCARE SOLUTIONS COM 01988P108 9 500 SH SOLE 0 0 500 ALPINE TOTAL DYNAMIC DIVID FD COM SH BEN INT 021060207 4 500 SH SOLE 0 0 500 ALTAIR NANOTECHNOLOGIES INC COM PAR 021373303 0 20 SH SOLE 0 0 20 ALTRIA GROUP INC COM 02209S103 663 17725 SH SOLE 0 0 17725 AMARIN CORP PLC SPONS ADR NEW 023111206 49 27000 SH SOLE 0 0 27000 AMAZON INC COM 023135106 13 40 SH SOLE 0 0 40 AMERICAN AIRLS GROUP INC COM 02376R102 18 500 SH SOLE 0 0 500 AMERICAN AXLE & MFG HLDGS INC COM 024061103 9 500 SH SOLE 0 0 500 AMERICAN CAPITAL LTD COM 02503Y103 0 0 SH SOLE 0 0 0 AMERICAN ELECTRIC POWER INC COM 025537101 82 1617 SH SOLE 0 0 1617 AMERICAN EXPRESS COMPANY COM 025816109 23 250 SH SOLE 0 0 250 AMERICAN INTL GROUP INC COM NEW 026874784 86 1725 SH SOLE 0 0 1725 AMERICAN NATL BANKSHARES INC COM 027745108 710 30192 SH SOLE 0 0 30192 AMERISOURCEBERGEN CORP COM 03073E105 3 45 SH SOLE 0 0 45 AMERIPRISE FINL INC COM 03076C106 102 931 SH SOLE 0 0 931 AMPHENOL CORP NEW CL A 032095101 0 0 SH SOLE 0 0 0 AMTECH SYS INC COM PAR $0.01 NEW 032332504 94 7750 SH SOLE 0 0 7750 ANADIGICS INC COM 032515108 37 21750 SH SOLE 0 0 21750 ANGIODYNAMICS INC COM 03475V101 8 500 SH SOLE 0 0 500 ANTARES PHARMA INC COM 036642106 128 36500 SH SOLE 0 0 36500 APOLLO TACTICAL INCOME FD INC COM 037638103 18 1000 SH SOLE 0 0 1000 APPLE INC COM 037833100 116 216 SH SOLE 0 0 216 APPLIED MATERIALS INC COM 038222105 354 17361 SH SOLE 0 0 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DATA PROCESSING INC COM 053015103 8 100 SH SOLE 0 0 100 AVIS BUDGET GROUP INC COM 053774105 5 100 SH SOLE 0 0 100 AVINO SILVER & GOLD MINES LT COM 053906103 92 61000 SH SOLE 0 0 61000 AXCELIS TECHNOLOGIES INC COM 054540109 576 267700 SH SOLE 0 0 267700 BB & T CORP COM 054937107 31 779 SH SOLE 0 0 779 BGC PARTNERS INC CL A 05541T101 7 1100 SH SOLE 0 0 1100 BIND THERAPEUTICS INC COM 05548N107 60 5000 SH SOLE 0 0 5000 BAIDU INC SPONS ADR REP A 056752108 2 10 SH SOLE 0 0 10 BAKER HUGHES INC COM 057224107 141 2165 SH SOLE 0 0 2165 BALLANTYNE STRONG INC COM 058516105 2 500 SH SOLE 0 0 500 BANK AMER CORP COM 060505104 661 38435 SH SOLE 0 0 38435 BARCLAYS BK PLC ADR PDF SR 5 06739H362 5 200 SH SOLE 0 0 200 BARCLAYS BK PLC IPATH S&P500 VIX 06742E711 0 0 SH SOLE 0 0 0 BASSETT FURNITURE INDS INC COM 070203104 172 11600 SH SOLE 0 0 11600 BEAM INC COM 073730103 62 750 SH SOLE 0 0 750 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 63 510 SH SOLE 0 0 510 BIODELIVERY SCIENCES INTL INC COM 09060J106 21 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COM 156782104 4 68 SH SOLE 0 0 68 CHANNELADVISOR CORP COM 159179100 5 125 SH SOLE 0 0 125 CHANTICLEER HLDGS INC W EXP 06/11/201 15930P131 41 57711 SH SOLE 0 0 57711 CHANTICLEER HLDGS INC COM PAR $ 0001NEW 15930P404 675 179432 SH SOLE 0 0 179432 CHECKPOINT SYS INC COM 162825103 10 750 SH SOLE 0 0 750 CHENIERE ENERGY PARTNERS LP COM UNIT 16411Q101 78 2597 SH SOLE 0 0 2597 CHENIERE ENERGY INC COM NEW 16411R208 14 250 SH SOLE 0 0 250 CHERRY HILL MTG INVT CORP COM 164651101 188 10000 SH SOLE 0 0 10000 CHESAPEAKE ENERGY CORP COM 165167107 15 600 SH SOLE 0 0 600 CHEVRON CORP NEW COM 166764100 24 198 SH SOLE 0 0 198 CHIMERIX INC COM 16934W106 3 125 SH SOLE 0 0 125 CHIPOTLE MEXICAN GRILL INC COM 169656105 102 180 SH SOLE 0 0 180 CIENA CORP COM NEW 171779309 119 5250 SH SOLE 0 0 5250 CINEDIGM CORP COM 172406100 224 87500 SH SOLE 0 0 87500 CISCO SYSTEMS INC COM 17275R102 17 750 SH SOLE 0 0 750 CITIGROUP INC COM NEW 172967424 0 0 SH SOLE 0 0 0 CITY HOLDING CO COM 177835105 7 157 SH SOLE 0 0 157 CLEARBRIDGE AMERN ENERGY MLP FD INC COM 184691103 119 7332 SH SOLE 0 0 7332 CLEARBRIDGE ENERGY MLP FD INC COM 184692101 7 250 SH SOLE 0 0 250 CLEARFIELD INC COM 18482P103 248 10750 SH SOLE 0 0 10750 CLEARSIGN COMBUSTION CORP COM 185064102 8 750 SH SOLE 0 0 750 CNINSURE INC SPONSORED ADR 18976M103 4 500 SH SOLE 0 0 500 COCA COLA COMPANY COM 191216100 8 212 SH SOLE 0 0 212 COEUR MNG INC COM NEW 192108504 93 10 SH SOLE 0 0 10 COGNIZANT TECHNOLOGY SOLUTIONS CORP CL A 192446102 2 42 SH SOLE 0 0 42 COLFAX CORP COM 194014106 13 182 SH SOLE 0 0 182 COLGATE PALMOLIVE CO COM 194162103 3 42 SH SOLE 0 0 42 COMCAST CORP CL A 20030N101 67 1330 SH SOLE 0 0 1330 COMMERCIAL VEH GROUP INC COM 202608105 5 500 SH SOLE 0 0 500 COMMSCOPE HLDG CO INC COM 20337X109 0 0 SH SOLE 0 0 0 COMMUNITY BANKERS TR CORP COM 203612106 10 2500 SH SOLE 0 0 2500 COMPUTER TASK GROUP INC COM 205477102 4 250 SH SOLE 0 0 250 CONCORD MED SVCS HLDGS LTD SPONSORED ADR 206277105 23 3000 SH SOLE 0 0 3000 CONOCOPHILLIPS COM 20825C104 57 816 SH SOLE 0 0 816 CONSTELLATION BRANDS INC CL A 21036P108 107 1256 SH SOLE 0 0 1256 CONTROL4 CORP COM 21240D107 172 8130 SH SOLE 0 0 8130 CORE MOLDING TECHNOLOGIES INC COM 218683100 6 500 SH SOLE 0 0 500 CORNING INC COM 219350105 27 1275 SH SOLE 0 0 1275 COSTCO WHOLESALE CORP NEW COM 22160K105 4 36 SH SOLE 0 0 36 COUPONS COM INC COM 22265J102 89 3630 SH SOLE 0 0 3630 CRAWFORD & COMPANY CL A 224633206 89 9500 SH SOLE 0 0 9500 CRAY INC COM NEW 225223304 5 125 SH SOLE 0 0 125 CREE INC COM 225447101 21 375 SH SOLE 0 0 375 CROSSROADS SYS INC COM NEW 22765D209 12 5100 SH SOLE 0 0 5100 CROWN MEDIA HLDGS INC CL A 228411104 200 52000 SH SOLE 0 0 52000 CUMMUNS INC COM 231021106 22 150 SH SOLE 0 0 150 CUMULUS MEDIA INC CL A 231082108 180 26000 SH SOLE 0 0 26000 CURIS INC COM 231269101 17 6000 SH SOLE 0 0 6000 CUSHING RTY & INCOME FD COM SH BEN INT 23164R104 49 2650 SH SOLE 0 0 2650 CYNOSURE INC CL A 232577205 7 225 SH SOLE 0 0 225 CYPRESS SEMICONDUCTOR COR COM 232806109 3 250 SH SOLE 0 0 250 CYTORI THERAPEUTICS INC COM 23283K105 93 34500 SH SOLE 0 0 34500 DSP GROUP INC COM 23332B106 4 500 SH SOLE 0 0 500 DWS STRATEGIC INCOME TR SHS 23338N104 19 1500 SH SOLE 0 0 1500 DATAWATCH CORP COM NEW 237917208 137 5000 SH SOLE 0 0 5000 DAVITA HEALTHCARE PARTNERS INC COM 23918K108 21 300 SH SOLE 0 0 300 DEERE & CO COM 244199105 23 250 SH SOLE 0 0 250 DELTA AIRLINES INC COM NEW 247361702 163 4692 SH SOLE 0 0 4692 DESCARTES SYS GROUP INC COM 249906108 14 1000 SH SOLE 0 0 1000 DEXCOM INC COM 252131107 10 250 SH SOLE 0 0 250 DIAGEO PLC SPON ADR NEW 25243Q205 7 55 SH SOLE 0 0 55 DIAMOND FOODS INC COM 252603105 3 100 SH SOLE 0 0 100 DIGIMARC CORP NEW COM 25381B101 4 125 SH SOLE 0 0 125 DIGIRAG CORP COM 253827109 121 35230 SH SOLE 0 0 35230 DIGITALGLOBE INC COM NEW 25389M877 0 0 SH SOLE 0 0 0 DISNEY WALT CO COM 254687106 66 830 SH SOLE 0 0 830 DISCOVER FINL SVCS INC COM 254709108 29 500 SH SOLE 0 0 500 DISCOVERY COMMUNICATIONS INC COM SER A 25470F104 21 250 SH SOLE 0 0 250 DISH NETWORK CORP 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CORP COM NEW 268763208 1 200 SH SOLE 0 0 200 EP ENERGY CORP CL A 268785102 52 2650 SH SOLE 0 0 2650 EBAY INC COM 278642103 7 125 SH SOLE 0 0 125 ECOLAB INC COM 278865100 2 23 SH SOLE 0 0 23 EHEALTH INC COM 28238P109 13 250 SH SOLE 0 0 250 8X8 INC COM 282914100 22 2000 SH SOLE 0 0 2000 ELECSYS CORP COM 28473M100 67 5000 SH SOLE 0 0 5000 ELECTRO-SENSORS INC COM 285233102 37 9250 SH SOLE 0 0 9250 ELECTROMED INC COM 285409108 1 1000 SH SOLE 0 0 1000 ELECTRONICS FOR IMAGING INC COM 286082102 38 875 SH SOLE 0 0 875 EMCORE CORP COM NEW 290846203 71 14000 SH SOLE 0 0 14000 EMERSON ELEC CO COM 291011104 37 550 SH SOLE 0 0 550 EMMIS COMMUNICATIONS CORP CL A 291525103 64 20050 SH SOLE 0 0 20050 ENBRIDGE INC COM 29250N105 40 884 SH SOLE 0 0 884 ENERGY TRANSFER PARTNERS LP UNIT LTD PARTN 29273R109 86 1605 SH SOLE 0 0 1605 ENERGY TRANSFER EQUITY LP COM UT LTD PTN 29273V100 60 1276 SH SOLE 0 0 1276 ENERNOC INC COM 292764107 3 125 SH SOLE 0 0 125 ENERPLUS CORP COM 292766102 11 525 SH SOLE 0 0 525 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