0001607949-14-000007.txt : 20141008 0001607949-14-000007.hdr.sgml : 20141008 20141008084629 ACCESSION NUMBER: 0001607949-14-000007 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: 141146944 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 ESTEBAN ANDRE AYALA 005334061 N 1 0001607949 First Southwest Co 04-23-2007 N 06-06-2014 0001607949 LOCATED SUPERVISED 06-09-2009 325 N ST PAUL STREET STE 800 DALLAS TX 75201 ANDRE NMN AYALA 04-2007 FIRST SOUTHWEST CO DALLAS TX 75201 Y Y PUBLIC FINANCE VICE PRESIDENT 12-2006 04-2007 UNEMPLOYED EL PASO TX 79924 N N UNEMPLOYED 08-2003 12-2006 UNIVERSITY OF TEXAS AT AUSTIN AUSTIN TX 78701 N N STUDENT/TUTOR 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