0001607949-14-000181.txt : 20150205
0001607949-14-000181.hdr.sgml : 20150205
20150115183042
ACCESSION NUMBER: 0001607949-14-000181
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: 15530959
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
joseph.hahm@firstsw.com
merideth.murphey@firstsw.com
blake.morris@firstsw.com
josh.dickerson@firstsw.com
N
BENJAMIN
KIPTANUI
BOR
006302495
N
1
0001607949
First Southwest Co
02-18-2014
N
867-00738
LOCATED
SUPERVISED
02-18-2014
325 N ST PAUL STREET STE 800
DALLAS
TX
75201
02-2014
FIRST SOUTHWEST CO
DALLAS
TX
75201
Y
Y
PUBLIC FINANCE ANALYST
12-2013
02-2014
UNEMPLOYED
DALLAS
TX
75243
N
N
UNEMPLOYED
10-2013
12-2013
EXTENDHEALTH
DALLAS
TX
75243
N
N
DATA PROCESSOR
08-2012
10-2013
WESTMINSTER COLLEGE
FULTON
MO
65251
N
N
STUDENT
06-2012
08-2012
RPCD INC
DALLAS
TX
75209
N
N
SITE MANAGER
08-2011
06-2012
WESTMINSTER COLLEGE
FULTON
MO
65251
N
N
STUDENT
05-2010
08-2011
YMCA OF DALLAS
DALLAS
TX
75201
N
N
CAMP COUNSELOR
05-2009
05-2010
WESTMINSTER COLLEGE
FULTON
MO
65251
N
N
STUDENT
05-2004
05-2009
LAKE HIGHLANDS HIGH SCHOOL
DALLAS
TX
75243
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