0001607949-15-000019.txt : 20150304 0001607949-15-000019.hdr.sgml : 20150304 20150304190424 ACCESSION NUMBER: 0001607949-15-000019 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150304 FILER: COMPANY DATA: COMPANY CONFORMED NAME: First Southwest Company, LLC 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: 15675149 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 FORMER COMPANY: FORMER CONFORMED NAME: First Southwest Co DATE OF NAME CHANGE: 20140513 MA-I/A 1 primary_doc.xml MA-I/A 0001607949 XXXXXXXX JOSH DICKERSON 214-953-4057 josh.dickerson@firstsw.com blake.morris@firstsw.com joseph.hahm@firstsw.com complianceadministrators@firstsw.coim N N GABRIELLA NMN BRICENO 006204766 N 1 0001607949 First Southwest Co 06-03-2013 N 06-06-2014 0001607949 LOCATED SUPERVISED 06-03-2013 325 N ST PAUL STREET STE 800 DALLAS TX 75201 06-2013 FIRST SOUTHWEST CO DALLAS TX 75201 Y Y ANALYST 01-2013 06-2013 GIRARDOT CAPITAL MANAGEMENT DALLAS TX 75201 Y Y ADMIN/ANALYST 09-2009 01-2013 SMU LIBRARIES DALLAS TX 75206 N N ASSISTANT 05-2009 08-2009 WARD NORTH AMERICAN PHOENIX AZ 85006 N N MOVER 09-2006 05-2009 UNEMPLOYED PHOENIX AZ 85006 N N UNEMPLOYED 05-2006 09-2006 HARKINS THEATERS SCOTTSDALE AZ 85008 N N TEAM MEMBER 01-2003 05-2006 UNEMPLOYED PHOENIX AZ 85006 N N UNEMPLOYED 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 03-04-2015 JOSH DICKERSON COMPLIANCE OFFICER