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)