0001607949-15-000046.txt : 20150812 0001607949-15-000046.hdr.sgml : 20150812 20150812152748 ACCESSION NUMBER: 0001607949-15-000046 CONFORMED SUBMISSION TYPE: MA-I/A 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-03360 FILM NUMBER: 151046817 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 COMPLIANCEADMINISTRATORS@FIRSTSW.COM N N RICARDO DIEGO VILLASENOR 004145720 Y 1 0001607949 First Southwest Company, LLC 05-19-2015 N 867-00738 LOCATED 05-19-2015 70 NORTHEAST LOOP 410 SUITE 710 SAN ANTONIO TX 78216 05-2015 FIRST SOUTHWEST COMPANY, LLC DALLAS TX 75201 Y Y INVESTMENT BANKER 01-2009 05-2015 CABRERA CAPITAL MARKETS, LLC LOS ANGELES CA 90071 Y Y VP INVESTMENT BANKING 10-2008 12-2008 UNEMPLOYED SAN ANTONIO TX 78230 N N UNEMPLOYED 04-2005 09-2008 SAMUEL A RAMIREZ & CO., INC. SAN ANTONIO TX 78208 Y Y VP INVESTMENT BANKING Y 01-2001 KELLEY'S CLAIMS 15502 RUIDOSA RUN HELOTES TX 78023 N N 49% PASSIVE OWNER 49% PASSIVE OWNER 0 49% PASSIVE OWNER 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