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