0001607949-14-000058.txt : 20141008 0001607949-14-000058.hdr.sgml : 20141008 20141008081109 ACCESSION NUMBER: 0001607949-14-000058 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140714 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: 141146849 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 JAMES DEPAUL MATLOCK 005818062 N 1 0001607949 First Southwest Co 10-14-2013 N 06-06-2014 0001607949 LOCATED SUPERVISED 10-14-2013 325 N ST PAUL STREET STE 800 DALLAS TX 75201 JAMES D MATLOCK JAMES DEPAUL MATLOCK III 10-2013 FIRST SOUTHWEST CO DALLAS TX 75201 Y Y ASSISTANT 06-2010 09-2013 FIDELITY BROKERAGE SERVICES LLC WESTLAKE TX 76262 N Y REGISTERED REPRESENTATIVE 05-2010 06-2010 NATION STAR MORTGAGE LEWISVILLE TX 75067 N N ACCOUNT RESOLUTION 08-2005 05-2010 UNIVERSITY OF NORTH TEXAS DENTON TX 76203 N N STUDENT 06-2000 06-2005 PFLUGERVILLE HIGH SCHOOL PFLUGERVILLE TX 78660 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 07-14-2014 JOSH DICKERSON COMPLIANCE OFFICER