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