0001607949-14-000006.txt : 20141008 0001607949-14-000006.hdr.sgml : 20141008 20141008084640 ACCESSION NUMBER: 0001607949-14-000006 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140711 FILER: COMPANY DATA: COMPANY CONFORMED NAME: First Southwest Co CENTRAL INDEX KEY: 0001607949 IRS NUMBER: 750708002 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I SEC ACT: 1934 Act SEC FILE NUMBER: 868-03360 FILM NUMBER: 141146945 BUSINESS ADDRESS: STREET 1: 325 N ST PAUL STREET STE 800 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 214-953-4000 MAIL ADDRESS: STREET 1: 325 N ST PAUL STREET STE 800 CITY: DALLAS STATE: TX ZIP: 75201 MA-I 1 primary_doc.xml MA-I 0001607949 XXXXXXXX JOSH DICKERSON 214-953-4057 josh.dickerson@firstsw.com merideth.murphey@firstsw.com blake.morris@firstsw.com joseph.hahm@firstsw.com N ADAM MATTHEW LANCARTE 005803357 N 1 0001607949 First Southwest Co 08-13-2012 N 06-06-2014 0001607949 LOCATED SUPERVISED 08-13-2012 777 MAIN ST STE 1200 FORT WORTH TX 76102 08-2012 FIRST SOUTHWEST CO DALLAS TX 75201 Y Y ASSOCIATE 01-2012 07-2012 JOE T GARCIAS FORT WORTH TX 76102 N N WAITER/HOST/OFFICE ASST 06-2010 12-2011 HORNOR TOWNSEND & KENT INC HORSHAM PA 19044 Y Y REGISTERED REP 08-2006 05-2010 UNIVERSITY OF TEXAS AUSTIN TX 78712 N N STUDENT 08-2002 05-2006 WT WHITE HIGH SCHOOL DALLAS TX 75204 N N STUDENT 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 N 07-11-2014 JOSH DICKERSON COMPLIANCE OFFICER