0001607949-15-000040.txt : 20150629 0001607949-15-000040.hdr.sgml : 20150629 20150629150727 ACCESSION NUMBER: 0001607949-15-000040 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150629 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 SEC ACT: 1934 Act SEC FILE NUMBER: 868-03360 FILM NUMBER: 15957916 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 1 primary_doc.xml MA-I 0001607949 XXXXXXXX JOSEPH HAHM JOSEPH.HAHM@FIRSTSW.COM COMPLIANCEADMINISTRATORS@FIRSTSW.COM BLAKE.MORRIS@FIRSTSW.COM N N EDWARD JORDAN LEE 006204763 N 1 0001607949 First Southwest Company, LLC 06-09-2014 N 867-00738 LOCATED SUPERVISED 06-09-2014 325 N ST PAUL STREET STE 800 DALLAS TX 75201 06-2014 FIRST SOUTHWEST COMPANY, LLC DALLAS TX 75201 Y Y ANALYST 03-2014 06-2014 MORGAN STANLEY WEALTH MANAGEMENT AUSTIN TX 78705 N Y INTERN 05-2010 05-2014 THE UNIVERSITY OF TEXAS AT AUSTIN AUSTIN TX 78705 N N STUDENT 08-2006 05-2010 HIGHLAND PARK HIGH SCHOOL DALLAS TX 75205 N N STUDENT 08-2004 08-2006 MCCULLOCH MIDDLE SCHOOL DALLAS TX 75205 N N STUDENT Y 09-2014 HIGHLAND PARK BOYS LACROSSE, INC. 6125 LUTHER LANE #572 DALLAS TX 75225 N N LACROSSE COACH YOUTH COACH 5 COACH 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 06-29-2015 JOSEPH HAHM COMPLIANCE OFFICER