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