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