0001607949-14-000185.txt : 20150205
0001607949-14-000185.hdr.sgml : 20150205
20150115183021
ACCESSION NUMBER: 0001607949-14-000185
CONFORMED SUBMISSION TYPE: MA-I
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20141106
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: 15530955
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
merideth.murphey@firstsw.com
joseph.hahm@firstsw.com
blake.morris@firstsw.com
N
PETIA
NIKOLOVA
MOUTAFTCHIEVA
005821880
N
1
0001607949
First Southwest Co
11-03-2014
N
867-00738
LOCATED
SUPERVISED
10-28-2014
325 N ST PAUL STREET STE 800
DALLAS
TX
75201
11-2014
FIRST SOUTHWEST COMPANY
DALLAS
TX
75201
Y
Y
ANALYST
10-2012
09-2014
UBS FINANCIAL SERVICES
DALLAS
TX
75201
N
Y
CLIENT SERVICE ASSOCIATE
09-2011
07-2012
IE BUSINESS SCHOOL
MADRID
U3
28006
N
N
STUDENT
05-2011
09-2011
CHASE BANK
IRVING
TX
75039
N
Y
PERSONAL BANKER
08-2006
05-2011
SOUTHERN METHODIST UNIVERSITY
DALLAS
TX
75205
N
N
STUDENT
08-2003
05-2006
SEGUINE HIGH SCHOOL
ARLINGTON
TX
76002
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
11-06-2014
JOSH DICKERSON
COMPLIANCE OFFICER