0001607949-14-000180.txt : 20150205 0001607949-14-000180.hdr.sgml : 20150205 20150115183052 ACCESSION NUMBER: 0001607949-14-000180 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20141023 DATE AS OF CHANGE: 20150204 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: 15530960 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 complianceadministrators@firstsw.com josh.dickerson@firstsw.com N MARY ELEANOR WINANS 006347273 N 1 0001607949 First Southwest Co 06-03-2014 N 867-00738 LOCATED SUPERVISED 06-03-2014 485 MADISON AVE STE 1800 NEW YORK NY 10022 06-2014 FIRST SOUTHWEST CO DALLAS TX 75201 Y Y PUBLIC FINANCE ANALYST 01-2012 06-2014 BACHARACH LEADERSHIP GROUP NEW YORK NY 10018 N N PROJECT DIRECTOR 06-2011 12-2011 APPRISE PRINCETON NJ 08542 N N ANALYST 08-2007 05-2011 CORNELL UNIVERSITY ITHACA NY 14850 N N STUDENT 06-2007 08-2007 COUNTRY CLUB OF ITHACA ITHACA NY 14850 N N MANAGER 09-2003 06-2007 ITHACA HIGH SCHOOL ITHACA NY 14850 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 10-23-2014 JOSH DICKERSON COMPLIANCE OFFICER