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