0001607949-15-000003.txt : 20150205 0001607949-15-000003.hdr.sgml : 20150205 20150107191126 ACCESSION NUMBER: 0001607949-15-000003 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150107 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-03360 FILM NUMBER: 15514622 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 PHILLIP GERARD CURLS 005357923 N 1 0001607949 First Southwest Co 06-04-2007 N 06-06-2014 0001607949 LOCATED SUPERVISED 04-03-2008 1620 26TH ST STE 230 SOUTH SANTA MONICA CA 90404 06-2007 FIRST SOUTHWEST CO DALLAS TX 75201 Y Y ANALYST 01-2007 05-2007 WESTWOOD INSURANCE AGENCY WEST HILLS CA 91304 N N ASSISTANT CUSTOMER SERVICE REP 03-2004 01-2007 SELECT REMEDY TEMP AGENCY WOODLAND HILLS CA 91364 N N COLLATERAL ANALYST 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 01-07-2015 JOSH DICKERSON COMPLIANCE OFFICER