0001607949-14-000183.txt : 20150205 0001607949-14-000183.hdr.sgml : 20150205 20150115183032 ACCESSION NUMBER: 0001607949-14-000183 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20141027 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: 15530957 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 josh.dickerson@firstsw.com complianceadministrators@firstsw.com N TIMOTHY EARL NELSON 001704486 N 1 0001607949 First Southwest Co 09-02-2014 N 867-00738 LOCATED 09-02-2014 300 W 6TH STREET STE 1940 AUSTIN TX 78701 09-2014 FIRST SOUTHWEST CO DALLAS TX 75201 Y Y SENIOR VICE PRESIDENT 12-2009 08-2014 TEXAS DEPARTMENT OF HOUSING AND COMMUNITY AFFAIRS AUSTIN TX 78711 Y N DIRECTOR OF BOND FINANCE 12-2008 12-2009 TEN CONSULTING GLENDALE AZ 85308 Y Y PRESIDENT 03-2008 12-2008 RBC CAPITAL MARKETS CORPORATION PHOENIX AZ 85016 Y Y INVESTMENT BANKER 02-2004 03-2008 RBC DAIN RAUSCHER INC MINNEAPOLIS MN 55402 Y Y INVESTMENT BANKER 07-1997 02-2004 WILLIAM R HOUGH & CO GLENDALE AZ 85016 Y Y BRANCH MANAGER N N N N N N N N N N N N N N N N N Y 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 10-27-2014 JOSH DICKERSON COMPLIANCE OFFICER TIMOTHY EARL NELSON 001704486 264508 6D(1)(d)