0001607949-15-000045.txt : 20150812
0001607949-15-000045.hdr.sgml : 20150812
20150812152727
ACCESSION NUMBER: 0001607949-15-000045
CONFORMED SUBMISSION TYPE: MA-I
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20150812
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: 151046812
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
214-953-8883
JOSEPH.HAHM@FIRSTSW.COM
COMPLIANCEADMINISTRATORS@FIRSTSW.COM
N
N
LUIS
DARIO
RAMOS
006143910
N
1
0001607949
First Southwest Company, LLC
07-22-2015
N
867-00738
LOCATED
07-22-2015
8055 E. Tufts Ave Suite 500
Denver
CO
80237
07-2015
FIRST SOUTHWEST COMPANY, LLC
DENVER
CO
80237
Y
Y
ASSOCIATE
12-2012
06-2015
GEORGE K. BAUM & COMPANY
ALBUQUERQUE
NM
87110
Y
Y
ASSOCIATE
07-2012
11-2012
LA PROMESA CHARTER SCHOOL
ALBUQUERQUE
NM
87105
N
N
TEACHER
05-2009
06-2012
NUESTROS VALORES CHARTER
ALBUQUERQUE
NM
87121
N
N
TEACHER
01-2003
05-2009
ALBUQUERQUE NEW MEXICO
ALBUQUERQUE
NM
87102
N
N
STUDENT
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
08-12-2015
JOSEPH HAHM
COMPLIANCE OFFICER