0001607949-14-000204.txt : 20150107 0001607949-14-000204.hdr.sgml : 20150107 20150107133233 ACCESSION NUMBER: 0001607949-14-000204 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20141223 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-03360 FILM NUMBER: 15512956 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/A 1 primary_doc.xml MA-I/A 0001607949 XXXXXXXX JOSH DICKERSON 214-953-4057 josh.dickerson@firstsw.com merideth.murphey@firstsw.com joseph.hahm@firstsw.com blake.morris@firstsw.com josh.dickerson@firstsw.com complianceadministrators@firstsw.com N N JULIE ANN JAMES 004616393 N 1 0001607949 First Southwest Co 11-05-2003 N 06-06-2014 0001607949 LOCATED SUPERVISED 11-05-2003 325 N ST PAUL STREET STE 800 DALLAS TX 75201 11-2003 FIRST SOUTHWEST CO DALLAS TX 75201 N N VICE PRESIDENT 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 12-23-2014 JOSH DICKERSON COMPLIANCE OFFICER