0001607949-15-000037.txt : 20150602
0001607949-15-000037.hdr.sgml : 20150602
20150602102344
ACCESSION NUMBER: 0001607949-15-000037
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20150601
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: 15905647
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
Joseph Hahm
214-953-8883
joseph.hahm@firstsw.com
joseph.hahm@firstsw.com
blake.morris@firstsw.com
complianceadministrators@firstsw.com
N
Y
ANDREW
ADAM
MAZLIN
005563512
N
1
0001607949
First Southwest Co
04-04-2011
N
06-06-2014
0001607949
LOCATED
SUPERVISED
09-16-2011
450 S ORANGE AVE STE 460
ORLANDO
FL
32801
04-2011
FIRST SOUTHWEST CO
DALLAS
TX
75201
Y
Y
PUBLIC FINANCE ANALYST
12-2010
04-2011
WELLS FARGO ADVISORS LLC
ST LOUIS
MO
63103
Y
Y
CLERK
08-2010
10-2010
UNEMPLOYED
ORLANDO
FL
32836
N
N
UNEMPLOYED
01-2010
07-2010
SOLAR BLUE
ORLANDO
FL
32836
N
N
ANALYST
07-2009
12-2009
UNEMPLOYED
ORLANDO
FL
32836
N
N
UNEMPLOYED
08-2005
06-2009
UNIVERSITY OF MICHIGAN
ANN ARBOR
MI
48109
N
N
STUDENT
08-2001
08-2005
UNEMPLOYED
ALTAMONTE SPRINGS
FL
32701
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
06-01-2015
Joseph Hahm
Compliance Officer