0001607949-15-000022.txt : 20150323
0001607949-15-000022.hdr.sgml : 20150323
20150323184033
ACCESSION NUMBER: 0001607949-15-000022
CONFORMED SUBMISSION TYPE: MA/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20150316
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 867-00738
FILM NUMBER: 15720147
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/A
1
primary_doc.xml
MA/A
0001607949
XXXXXXXX
Josh Dickerson
214-953-4057
josh.dickerson@firstsw.com
joseph.hahm@firstsw.com
blake.morris@firstsw.com
josh.dickerson@firstsw.com
complianceadministrators@firstsw.com
First Southwest Company, LLC
000000316
FIRST SOUTHWEST COMPANY INC
75-0708002
866-00060-00
Brokerage Firm
008-01523
0001607949
325 N ST PAUL STREET STE 800
DALLAS
TX
75201
214-953-4000
Add
700 Milam Street STE 500
Houston
TX
77002
713-651-9850
Add
300 W 6th Street STE 1940
Austin
TX
78701
512-481-2000
Add
54 Canal Street Ste 320
Boston
MA
02114
617-619-4400
Add
250 W 57th Street STE 1420
New York
NY
10107
212-642-4350
Add
777 Main Street STE 1200
Fort Worth
TX
76102
817-332-9710
N
325 N ST PAUL STREET STE 800
DALLAS
TX
75201
www.firstsw.com
Blake
Barnes
Morris
325 N St Paul Street STE 800
Dallas
TX
75201
214-953-4016
214-840-5008
blake.morris@firstsw.com
Josh
Edward
Dickerson
325 N St Paul Street STE 800
Dallas
TX
75201
214-953-4057
josh.dickerson@firstsw.com
Add
First Southwest Company
777 Main Street STE 1200
Fort Worth
TX
76102
817-332-9710
Public Finance Deal Files, Customer Files
Add
First Southwest Company
300 W 6th Street STE 1940
Austin
TX
78701
512-481-2000
Public Finance Deal Files, Customer Files
Add
First Southwest Company
700 Milam Street STE 500
Houston
TX
77002
713-651-9850
Public Finance Deal Files, Customer Files
Add
First Southwest Company
54 Canal Street STE 320
Boston
MA
02114
617-619-4400
Public Finance Deal Files
Add
First Southwest Company
250 W 57th Street STE 1420
New York
NY
10107
212-642-4350
Public Finance Deal Files, Customer Files
FIRST SOUTHWEST LEASING COMPANY
N
FIRST SOUTHWEST ASSET MANAGEMENT
Y
Securities Exchange Commission
801-40189
PLAINSCAPITAL SECURITIES LLC
Y
SECURITIES EXCHANGE COMMISSION
8-65716
FSW ADVISORY SERVICES INC
N
PLAINSCAPITAL CORPORATION
N
PLAINSCAPITAL BANK
Y
TEXAS DEPARTMENT OF BANKING
3108-05
TX
SWS FINANCIAL SERVICES, INC.
Y
SECURITIES EXCHANGE COMMISSION
8-35475
SOUTHWEST SECURITIES, INC.
Y
SECURITIES EXCHANGE COMMISSION
8-45123
SOUTHWEST INSURANCE AGENCY
Y
TEXAS DEPARTMENT OF INSURANCE
6171
TX
December
DE
03-25-1946
N
12-31-2014
867-00738
FIRST SOUTHWEST CO
400
147
147
10
0
1600
Municipal Entities
Non-profit organizations
Corporations or other businesses
Other
Colleges
1550
50
1600
Public pension funds
Local government investment pools
State government investment pools
Hospitals
Colleges
Hourly Charges
Fixed Fees
Contingent Fees
Not Applicable
Advice Insurance Of MS
Advice Investment Of Proceeds MS
Advice ME Investments
Advice ME Other Investments
Advice Guaranteed IC
Advice Use Of MD
Advice On Selection
Brokerage Of MEI
Y
Y
Y
N
Investment Adviser
Commodity trading advisor
Other municipal advisor
157
Add
Commodity trading advisor
Other municipal advisor
DAVID ROBERT BRAYSHAW
DAVE BRAYSHAW
Y
N
N
Add
Commodity trading advisor
Other municipal advisor
RICHARD ARTHUR KONKEL
RICHARD KONKEL
Y
N
N
Add
Investment Adviser
Other municipal advisor
BRIAN LEE WHITWORTH
BRIAN WHITWORTH
Y
N
N
Add
Other municipal advisor
JOHN HERBERT BARGANSKI
JOHN BARGANSKI
Y
N
N
Add
Other municipal advisor
KEITH ELROY KIRVEN JR
KEITH KIRVEN
Y
N
N
Add
Other municipal advisor
RICHARD MARTINEZ RAMIREZ
RICHARD RAMIREZ
Y
N
N
Add
Other municipal advisor
LAKSHMI MCGRATH
LAKSHMI MCGRATH
Y
N
N
Add
Other municipal advisor
LISA MARIE DRISCOLL
LISA DRISCOLL
Y
N
N
Add
Other municipal advisor
PETER BRUCE FRAZIER
PETER FRAZIER
Y
N
N
Add
Other municipal advisor
RYAN LEE HIGGINS
RYAN HIGGINS
Y
N
N
Add
Other municipal advisor
MEGAN ELIZABETH HYLAND
MEGAN HYLAND
Y
N
N
Add
Other municipal advisor
ABBY JAYE JEFFERS
ABBY JEFFERS
Y
N
N
Add
Other municipal advisor
SUSAN LEE KENDALL
SUSAN KENDALL
Y
N
N
Add
Other municipal advisor
KAYLA JEAN MACEWEN
KAYLA MACEWEN
Y
N
N
Add
Other municipal advisor
CYNTHIA FENDRICH MCNERNEY
CINDER MCNERNEY
Y
N
N
Add
Other municipal advisor
KRISTY JENNIFER TOFURI
KRISTY TOFURI
Y
N
N
Add
Other municipal advisor
JANICE LOU BURKE
JANICE BURKE
Y
N
N
Add
Other municipal advisor
KELLY CHRISTOPHER CAVENDER
KELLY CAVENDER
Y
N
N
Add
Other municipal advisor
RICHARD DOMINICK PETILO
RICK PETILO
Y
N
N
Add
Other municipal advisor
RICHARD DOYLE HATTON
RICHARD HATTON
Y
N
N
Add
Other municipal advisor
JOHN DAVID LEE
JOHN LEE
Y
N
N
Add
Other municipal advisor
ROBERT DAVID SPOOR
ROBERT SPOOR
Y
N
N
Add
Other municipal advisor
JACK EUGENE ADDAMS
JACK ADDAMS
Y
N
N
Add
Other municipal advisor
GARY EUGENE AKERS
GARY AKERS
Y
N
N
Add
Other municipal advisor
ANDUREA DAWN ALEXANDER
ANDUREA ALEXANDER
Y
N
N
Add
Other municipal advisor
LAURA BONNELL ALEXANDER
LAURA ALEXANDER
Y
N
N
Add
Other municipal advisor
CHRISTOPHER WAYNE ALLEN
CHRIS ALLEN
Y
N
N
Add
Other municipal advisor
MARY ASHLEY ALLEN
ASHLEY ALLEN
Y
N
N
Add
Other municipal advisor
LUCY MICHELLE ARAGON
MICHELLE ARAGON
Y
N
N
Add
Other municipal advisor
ESTEBAN ANDRE AYALA
ANDRE AYALA
Y
N
N
Add
Other municipal advisor
JOHN DAVID BANNON
FIRST SOUTHWEST CO
Y
N
N
Add
Other municipal advisor
MICHAEL GEORGE BARTOLOTTA
MICHAEL BARTOLOTTA
Y
N
N
Add
Other municipal advisor
SARA MELISSA BEDFORD
SARA BEDFORD
Y
N
N
Add
Other municipal advisor
TAWNYA MARIE BETANCOURT
TAWNYA BETANCOURT
Y
N
N
Add
Other municipal advisor
MATTHEW JOSEPH BLAIS
MATTHEW BLAIS
Y
N
N
Add
Other municipal advisor
KRISTIN NICOLE BLOMQUIST
KRISTIN BLOMQUIST
Y
N
N
Add
Other municipal advisor
GABRIELLA BRICENO
GABRIELLA BRICENO
Y
N
N
Add
Other municipal advisor
NICHOLAS BATTON BULAICH
NICK BULAICH
Y
N
N
Add
Other municipal advisor
ANNE MARIE BURGER ENTREKIN
ANNE BURGER ENTREKIN
Y
N
N
Add
Other municipal advisor
LESTER BYRD
LESTER BYRD
Y
N
N
Add
Other municipal advisor
LINDA KAYE CALLAWAY-GUSNOWSKI
LINDA CALLAWAY-GUSNOWSKI
Y
N
N
Add
Other municipal advisor
MARY ANN CARNEY
MARY ANN CARNEY
Y
N
N
Add
Other municipal advisor
SUSAN CARON
SUSAN CARON
Y
N
N
Add
Other municipal advisor
ANDREA LEE CASH
ANDREA CASH
Y
N
N
Add
Other municipal advisor
WARREN PINCKNEY CASH III
TREY CASH
Y
N
N
Add
Other municipal advisor
CAROL ELAINE CHEEKS
CAROL CHEEKS
Y
N
N
Add
Other municipal advisor
TONY KAMTONG CHEUNG
TONY CHEUNG
Y
N
N
Add
Other municipal advisor
RYAN JOSEPH CHIRIBOGA
RYAN CHIRIBOGA
Y
N
N
Add
Other municipal advisor
JONATHAN SCOTT CHURCH
JONATHAN CHURCH
Y
N
N
Add
Other municipal advisor
DONNA CICCIMARRO
DONNA CICCIMARRO
Y
N
N
Add
Other municipal advisor
COLIN PREETHAM COLACO
COLIN COLACO
Y
N
N
Add
Other municipal advisor
ROBERT VINCENT COULTER
ROBERT COULTER
Y
N
N
Add
Other municipal advisor
CHRISTINE ELIZABETH CROTWELL
CHRISTINE CROTWELL
Y
N
N
Add
Other municipal advisor
PHILLIP GERARD CURLS
PHILLIP CURLS
Y
N
N
Add
Other municipal advisor
RONALD K DAVIS JR
RON DAVIS
Y
N
N
Add
Other municipal advisor
SPENCER CRAIG DAY
SPENCER DAY
Y
N
N
Add
Other municipal advisor
JORGE LUIS DELGADO
JORGE DELGADO
Y
N
N
Add
Other municipal advisor
LEANNE DIXIE DONNER
LEANNE DONNER
Y
N
N
Add
Other municipal advisor
LELAND PAUL DONNER
LEE DONNER
Y
N
N
Add
Other municipal advisor
MARY ANN DUNDA
MARY ANN DUNDA
Y
N
N
Add
Other municipal advisor
HILLEL ARNOLD FEINBERG
HILL FEINBERG
Y
N
N
Add
Other municipal advisor
RANDY LEE FINKEN
RANDY FINKEN
Y
N
N
Add
Other municipal advisor
ESTER FLORES
ESTER FLORES
Y
N
N
Add
Other municipal advisor
RICHARD FOX
RICHARD FOX
Y
N
N
Add
Other municipal advisor
MARK GALVIN
MARK GALVIN
Y
N
N
Add
Other municipal advisor
CARLOS ALBERTO GARCIA
CARLOS GARCIA
Y
N
N
Add
Other municipal advisor
CARL LYNN GILES
CARL GILES
Y
N
N
Add
Other municipal advisor
JANELLE ELAINE GOLD
JANELLE GOLD
Y
N
N
Add
Other municipal advisor
DANIEL WESLEY GRANT III
DAN GRANT
Y
N
N
Add
Other municipal advisor
MAUREEN ELIZABETH GURGHIGIAN
MAUREEN GURGHIGIAN
Y
N
N
Add
Other municipal advisor
MISTY DAWN GUTIERREZ
MISTY GUTIERREZ
Y
N
N
Add
Other municipal advisor
JESSE CLARENCE HALL
JESSE HALL
Y
N
N
Add
Other municipal advisor
VICKIE LYNN HALL
VICKIE HALL
Y
N
N
Add
Other municipal advisor
JASON LYN HUGHES
JASON HUGHES
Y
N
N
Add
Other municipal advisor
EMILY BURKE HUNDLEY
EMILY HUNDLEY
Y
N
N
Add
Other municipal advisor
JOSEPH COLBY JACKSON
COLBY JACKSON
Y
N
N
Add
Other municipal advisor
JULIE ANN JAMES
JULIE JAMES
Y
N
N
Add
Other municipal advisor
CHRISTOPHER JOSEPH JANNING
CHRISTOPHER JANNING
Y
N
N
Add
Other municipal advisor
WILLIAM THOMAS JOHNSON
BILL JOHNSON
Y
N
N
Add
Other municipal advisor
STEVEN DOUGLAS JOHNSON
STEVEN D JOHNSON
Y
N
N
Add
Other municipal advisor
STEVEN JAY KANTOR
STEVEN KANTOR
Y
N
N
Add
Other municipal advisor
CLIFF LEDLOW KAVANAUGH
CLIFF KAVANAUGH
Y
N
N
Add
Other municipal advisor
BRUCE DAVID KELLEY
BRUCE KELLEY
Y
N
N
Add
Other municipal advisor
NKANDO THIIRI KIMATHI
THIIRI KIMATHI
Y
N
N
Add
Other municipal advisor
BEVERLY ELAINE KNIGHT
BEVERLY KNIGHT
Y
N
N
Add
Other municipal advisor
ADAM SULLIVAN KREA
ADAM KREA
Y
N
N
Add
Other municipal advisor
MICHAEL DENNIS KREMER
MICHAEL KREMER
Y
N
N
Add
Other municipal advisor
ANGELA KUKODA
ANGELA KUKODA
Y
N
N
Add
Other municipal advisor
ADAM MATTHEW LANCARTE
ADAM LANCARTE
Y
N
N
Add
Other municipal advisor
GREGORY THOMAS LENTZ
GREG LENTZ
Y
N
N
Add
Other municipal advisor
WILLIAM BOYD LONDON JR
BOYD LONDON
Y
N
N
Add
Other municipal advisor
TERRY LEO MASS
TERRY MASS
Y
N
N
Add
Other municipal advisor
ERICK MICHAEL MACHA
ERICK MACHA
Y
N
N
Add
Other municipal advisor
JAMES MCDONNELL MANIRE
JAMES MANIRE
Y
N
N
Add
Other municipal advisor
JANETTE JACQUELINE MARCOUX
JANETTE MARCOUX
Y
N
N
Add
Other municipal advisor
MICHAEL JOHN MARZ
MICHAEL MARZ
Y
N
N
Add
Other municipal advisor
DREW KENNEDY MASTERSON
DREW MASTERSON
Y
N
N
Add
Other municipal advisor
JAMES DEPAUL MATLOCK
JAMES MATLOCK
Y
N
N
Add
Other municipal advisor
SUZANNE CATHERINE MAXWELL
CATHI MAXWELL
Y
N
N
Add
Other municipal advisor
ANDREW ADAM MAZLIN
ANDREW MAZLIN
Y
N
N
Add
Other municipal advisor
MARK AARON MCGRUDER
MARK MCGRUDER
Y
N
N
Add
Other municipal advisor
COLLEEN NEISHI MCINNES
COLLEEN MCINNES
Y
N
N
Add
Other municipal advisor
SCOTT DAMIAN MCINTYRE
SCOTT MCINTYRE
Y
N
N
Add
Other municipal advisor
DAVID KING MEDANICH
DAVID MEDANICH
Y
N
N
Add
Other municipal advisor
CLAIRE DEE MIAZZA
CLAIRE MIAZZA
Y
N
N
Add
Other municipal advisor
ROBIN MICHAEL MILLER
ROBIN MILLER
Y
N
N
Add
Other municipal advisor
ANTHEA MORAN
ANTHEA MORAN
Y
N
N
Add
Other municipal advisor
JOHN WILLIAM MORROW JR
BILL MORROW
Y
N
N
Add
Other municipal advisor
JOSEPH WILLIAM MORROW
JOE MORROW
Y
N
N
Add
Other municipal advisor
MICHAEL NEWMAN
MICHAEL NEWMAN
Y
N
N
Add
Other municipal advisor
MICA LYNN OWENS-WEARY
MICA OWENS-WEARY
Y
N
N
Add
Other municipal advisor
CHARLES TERRELL PALMER
TERRELL PALMER
Y
N
N
Add
Other municipal advisor
JULIE JO PEAK
JULIE PEAK
Y
N
N
Add
Other municipal advisor
TINA ARIAS PETERMAN
TINA PETERMAN
Y
N
N
Add
Other municipal advisor
PAMELA JEAN PFENNINGER
PAM PFENNINGER
Y
N
N
Add
Other municipal advisor
WAYNE BARROW PLACIDE
WAYNE PLACIDE
Y
N
N
Add
Other municipal advisor
SUSAN KELLI ROSS
KELLI ROSS
Y
N
N
Add
Other municipal advisor
MICHELLE MASSEY RUBIN
SHELLEY RUBIN
Y
N
N
Add
Other municipal advisor
JAMES STEVEN SABONIS
JIM SABONIS
Y
N
N
Add
Other municipal advisor
HENRY ADOLPH SAUER JR
HENRY SAUER
Y
N
N
Add
Other municipal advisor
DEBORAH LYNCH SHELTON
DEBBIE SHELTON
Y
N
N
Add
Other municipal advisor
MARTI ANNE SHEW
MARTI SHEW
Y
N
N
Add
Other municipal advisor
MEGAN OLIVIA SIENTY
MEGAN SIENTY
Y
N
N
Add
Other municipal advisor
WILLIAM JASON SIMMONS
JASON SIMMONS
Y
N
N
Add
Other municipal advisor
PETER BRYAN STARE
PETER STARE
Y
N
N
Add
Other municipal advisor
MELINA FRANCINE STEFAN
FRANCINE STEFAN
Y
N
N
Add
Other municipal advisor
EDWARD DANIEL STULL JR
ED STULL
Y
N
N
Add
Other municipal advisor
JOHN WALTER THOMAS
JOHN THOMAS
Y
N
N
Add
Other municipal advisor
JOEL GIDEON TINDAL
JOEL TINDAL
Y
N
N
Add
Other municipal advisor
RANDY WAYNE TOPEL
RANDY TOPEL
Y
N
N
Add
Other municipal advisor
MARIA FERNANDA URBINA
MARIA URBINA
Y
N
N
Add
Other municipal advisor
GARY SELLERS UTKOV
GARY UTKOV
Y
N
N
Add
Other municipal advisor
REBECCA GAIL VEGA
REBECCA VEGA
Y
N
N
Add
Other municipal advisor
CRISOFORO SABINO VELA
CRIS VELA
Y
N
N
Add
Other municipal advisor
RAUL VILLASENOR
RAUL VILLASENOR
Y
N
N
Add
Other municipal advisor
PAULA CHRISTINE WALLOF
PAULA WALLOF
Y
N
N
Add
Other municipal advisor
THOMAS GREGORY WARNER
GREG WARNER
Y
N
N
Add
Other municipal advisor
THOMAS HARRY WEBB
THOMAS WEBB
Y
N
N
Add
Other municipal advisor
MARY KATHERYN WILLIAMS
MARY WILLIAMS
Y
N
N
Add
Other municipal advisor
TANYA KRIS CALVIT
TANY CALVIT
Y
N
N
Add
Other municipal advisor
MARIE POWELL LANE
MARIE LANE
Y
N
N
Add
Other municipal advisor
JEFFREY WARREN ROBERT
JEFF ROBERT
Y
N
N
Add
Other municipal advisor
JOHN DANIEL TURBENSON
DAN TURBENSON
Y
N
N
Add
Other municipal advisor
GEORGE HERBERT WILLIFORD III
GEORGE WILLIFORD
Y
N
N
Add
Other municipal advisor
JOSEPH THOMAS YEW
JOE YEW
Y
N
N
Add
Other municipal advisor
ELENA ZARETSKY
ELENA ZARETSKY
Y
N
N
Add
Other municipal advisor
JOSH EDWARD DICKERSON
JOSH DICKERSON
Y
N
N
Add
Other municipal advisor
BLAKE BARNES MORRIS
BLAKE MORRIS
Y
N
N
Add
Other municipal advisor
JOSEPH YONG HAHM
JOSEPH HAHM
Y
N
N
Add
Other municipal advisor
TIMOTHY EARL NELSON
TIMOTHY NELSON
Y
N
N
Add
Other municipal advisor
BENJAMIN KIPTANUI BOR
BENJAMIN BOR
Y
N
N
Add
Other municipal advisor
MARY ELEANOR WINANS
MARY WINANS
Y
N
N
Add
Other municipal advisor
PETIA NIKOLOVA MOUTAFTCHIEVA
PETIA MOUNTAFTCHIEVA
Y
N
N
Add
Other municipal advisor
ROBERT WAYNE PETERSON
BOB PETERSON
Y
N
N
Add
Other municipal advisor
KARLA MARIA MARTINEZ
KARLA MARTINEZ
Y
N
N
Add
Other municipal advisor
WILLIAM BERMUDEZ
WILLIAM BERMUDEZ
Y
N
N
Add
Other municipal advisor
ALFRED JAMES WASHINGTON
ALFRED WASHINGTON
Y
N
N
Y
Y
N
Y
Y
Y
N
N
N
N
Y
Y
N
N
Item 1 (A)(3) & Item 3 (A)(B) - First Southwest Company (File No. 867-00738) changed from a corporation to an LLC for tax purposes effective 12/31/2014. The firm does not believe this change is material as it will have no impact to capital / supervisory system / compliance / business operations. Also the overall ownership of the firm will not change.
Please contact Blake Morris (214-953-4016) or Robert Coulter (214-953-4216) if you have any questions regarding this change.
N
N
N
N
N
Y
N
Y
Y
N
N
N
N
N
N
Y
N
N
N
Y
N
N
N
N
N
Y
FIRST SOUTHWEST HOLDINGS LLC
N
26-3987572
SHAREHOLDER
01-01-2009
E
Y
HILLEL
ARNOLD
FEINBERG
CHAIRMAN & CEO
02-01-1993
NA
Y
000205642
MICHAEL
JOHN
MARZ
VICE CHAIRMAN/DIRECTOR
11-01-1993
NA
Y
000874062
HENRY
ADOLPH
SAUER JR
MANAGING DIRECTOR
10-01-1997
NA
Y
001093206
DAVID
KING
MEDANICH
DIRECTOR
10-01-1997
NA
Y
001030727
JACK
EUGENE
ADDAMS
SVP ADMINISTRATION
09-01-2000
NA
Y
000823023
DAVID
ALAN
COMMONS
CFO
11-01-2003
NA
Y
004614412
BRIAN
LANE
WITTNEBEN
GENERAL COUNSEL
08-01-2009
NA
Y
004861905
ROBERT
VINCENT
COULTER
CHIEF ADMINISTRATION OFFICER
02-01-2011
NA
Y
004211707
MICHAEL
GEORGE
BARTOLOTTA
VICE CHAIRMAN
08-01-2010
NA
Y
001620103
ANNE
BURGER
ENTREKIN
MANAGING DIRECTOR
08-01-2010
NA
Y
001535692
WAYNE
BARROW
PLACIDE
MANAGING DIRECTOR
08-01-2010
NA
Y
001371032
JOHN
RICHARD
MUSCHALEK
VICE CHAIRMAN
01-01-2011
NA
Y
002226859
DREW
KENNEDY
MASTERSON
VICE CHAIRMAN
01-01-2011
NA
Y
001421404
BLAKE
BARNES
MORRIS
CHIEF COMPLIANCE OFFICER
02-01-2013
NA
Y
004591811
CHALO
NMN
BALANDRAN
AML COMPLIANCE OFFICER
07-01-2013
NA
Y
004574583
ROBERT
WAYNE
PETERSON
PRESIDENT & COO
12-15-2014
NA
Y
002441207
HILLTOP SECURITIES HOLDINGS, LLC
HILLTOP HOLDINGS INC.
Y
84-1477939
PARENT
01-01-2015
E
Y
PERUNA, LLC
HILLTOP SECURITIES HOLDINGS, LLC
N
47-2373402
PARENT
01-01-2015
E
Y
Add
FIRST SOUTHWEST HOLDINGS LLC
N
26-3987572
SHAREHOLDER
01-01-2009
E
Y
Add
HILLEL
ARNOLD
FEINBERG
CHAIRMAN & CEO
02-01-1993
NA
Y
000205642
Add
MICHAEL
JOHN
MARZ
VICE CHAIRMAN/DIRECTOR
11-01-1993
NA
Y
000874062
Add
HENRY
ADOLPH
SAUER JR
MANAGING DIRECTOR
10-01-1997
NA
Y
001093206
Add
DAVID
KING
MEDANICH
DIRECTOR
10-01-1997
NA
Y
001030727
Add
JACK
EUGENE
ADDAMS
SVP ADMINISTRATION
09-01-2000
NA
Y
000823023
Add
DAVID
ALAN
COMMONS
CFO
11-01-2003
NA
Y
004614412
Add
BRIAN
LANE
WITTNEBEN
GENERAL COUNSEL
08-01-2009
NA
Y
004861905
Add
ROBERT
VINCENT
COULTER
CHIEF ADMINISTRATION OFFICER
02-01-2011
NA
Y
004211707
Add
MICHAEL
GEORGE
BARTOLOTTA
VICE CHAIRMAN
08-01-2010
NA
Y
001620103
Add
ANNE
BURGER
ENTREKIN
MANAGING DIRECTOR
08-01-2010
NA
Y
001535692
Add
WAYNE
BARROW
PLACIDE
MANAGING DIRECTOR
08-01-2010
NA
Y
001371032
Add
JOHN
RICHARD
MUSCHALEK
VICE CHAIRMAN
01-01-2011
NA
Y
002226859
Add
DREW
KENNEDY
MASTERSON
VICE CHAIRMAN
01-01-2011
NA
Y
001421404
Add
BLAKE
BARNES
MORRIS
CHIEF COMPLIANCE OFFICER
02-01-2013
NA
Y
004591811
Add
CHALO
NMN
BALANDRAN
AML COMPLIANCE OFFICER
07-01-2013
NA
Y
004574583
Amend
ROBERT
WAYNE
PETERSON
PRESIDENT & COO
12-15-2014
NA
Y
002441207
Amend
HILLTOP SECURITIES HOLDINGS, LLC
HILLTOP HOLDINGS INC.
Y
84-1477939
PARENT
01-01-2015
E
Y
Add
PERUNA, LLC
HILLTOP SECURITIES HOLDINGS, LLC
N
47-2373402
PARENT
01-01-2015
E
Y
9-E2
FIRST SOUTHWEST COMPANY
000000316
182178
9-E2
FIRST SOUTHWEST COMPANY
000000316
256987
9-E2
FIRST SOUTHWEST COMPANY
000000316
762250
9-E2
FIRST SOUTHWEST COMPANY
000000316
1353605
9-E2
FIRST SOUTHWEST COMPANY
000000316
1362378
9-E2
FIRST SOUTHWEST COMPANY
000000316
1363278
9-C2
9-C4
9-C5
FIRST SOUTHWEST COMPANY
000000316
1406296
9-E2
FIRST SOUTHWEST COMPANY
000000316
1434092
9-E2
FIRST SOUTHWEST COMPANY
000000316
1483021
9-E2
FIRST SOUTHWEST COMPANY
000000316
1488252
9-E2
FIRST SOUTHWEST COMPANY
000000316
1524745
9-E2
FIRST SOUTHWEST COMPANY
000000316
1539767
9-E2
FIRST SOUTHWEST COMPANY
000000316
1661806
9-E2
FIRST SOUTHWEST COMPANY
000000316
1672279
1
9-G
CHARLES
WILLIAM
YANCEY
N
001173660
CHARLES WILLIAM YANCEY
001173660
1707058
BLAKE MORRIS
BLAKE MORRIS
CHIEF COMPLIANCE OFFICER
03-16-2015
004591811
N
Y
N
N
N
Y
N
Y
N
N
Y
N
Y
N
N
Y
N
N
Y
N