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