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