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