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