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