0001607949-14-000208.txt : 20150205 0001607949-14-000208.hdr.sgml : 20150205 20150116170813 ACCESSION NUMBER: 0001607949-14-000208 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20141229 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: 15533298 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 N N ROBERT WAYNE PETERSON 002441207 N 1 0001607949 First Southwest Co 12-15-2014 N 867-00738 LOCATED SUPERVISED 12-15-2014 325 N ST PAUL STREET STE 800 DALLAS TX 75201 BOB NMB PETERSON 12-2014 FIRST SOUTHWEST CO DALLAS TX 75201 Y Y PRESIDENT AND COO 11-2013 12-2014 PARK SQUARE PARTNERS LLC DALLAS TX 75230 N Y OWNER/PRINCIPAL 08-2013 11-2013 UNEMPLOYED DALLAS TX 75230 N N UNEMPLOYED 07-2012 08-2013 JC PENNEY PLANO TX 75024 N N SR VP CORPORATE STRATEGY 12-1993 07-2012 PIPER JAFFRAY INC MINNEAPOLIS MN 55402 Y Y GLOBAL HEAD OF EQUITIES Y 11-2013 PARK SQUARE PARTNERS LLC 9918 AVALON CREEK CT DALLAS TX 75230 N Y CONSULTING/ADVISORY WORK OWNER 10 OWNER AND ONLY EMPLOYEE. ALL DUTIES AS ROBER IS THE ONLY EMPLOYEE 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 12-29-2014 JOSH DICKERSON COMPLIANCE OFFICER