0001607949-15-000043.txt : 20150722
0001607949-15-000043.hdr.sgml : 20150722
20150722093802
ACCESSION NUMBER: 0001607949-15-000043
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20150721
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: 15999185
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
blake.morris@firstsw.com
joseph.hahm@firstsw.com
complianceadministrators@firstsw.coim
N
N
GABRIELLA
NMN
BRICENO
006204766
N
1
0001607949
First Southwest Co
06-03-2013
N
06-06-2014
0001607949
LOCATED
SUPERVISED
06-03-2013
325 N ST PAUL STREET STE 800
DALLAS
TX
75201
06-2013
FIRST SOUTHWEST CO
DALLAS
TX
75201
Y
Y
ANALYST
01-2013
06-2013
GIRARDOT CAPITAL MANAGEMENT
DALLAS
TX
75201
Y
Y
ADMIN/ANALYST
09-2009
01-2013
SMU LIBRARIES
DALLAS
TX
75206
N
N
ASSISTANT
05-2009
08-2009
WARD NORTH AMERICAN
PHOENIX
AZ
85006
N
N
MOVER
09-2006
05-2009
UNEMPLOYED
PHOENIX
AZ
85006
N
N
UNEMPLOYED
05-2006
09-2006
HARKINS THEATERS
SCOTTSDALE
AZ
85008
N
N
TEAM MEMBER
01-2003
05-2006
UNEMPLOYED
PHOENIX
AZ
85006
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
07-21-2015
JOSEPH HAHM
COMPLIANCE OFFICER