0001607949-15-000016.txt : 20150210 0001607949-15-000016.hdr.sgml : 20150210 20150210131802 ACCESSION NUMBER: 0001607949-15-000016 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150210 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: 15592326 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@firstw.com josh.dickerson@firstsw.com N N KARLA MARIA MARTINEZ 006361527 N 1 0001607949 First Southwest Co 06-23-2014 N 867-00738 LOCATED SUPERVISED 06-23-2014 325 N ST PAUL STREET STE 800 DALLAS TX 75201 KARLA NMN MARTINEZ-ROSAS 06-2014 FIRST SOUTHWEST COMPANY, LLC DALLAS TX 75201 Y Y ANALYST 07-2007 06-2014 LEGACY TEXAS BANK PLANO TX 75024 N N ANALYST 02-2004 07-2007 BROOKSHIRE'S GROCERY COMPANY PLANO TX 75024 N N OFFICE ASSISTANT 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 02-10-2015 JOSH DICKERSON COMPLIANCE OFFICER