0001607949-15-000047.txt : 20150821 0001607949-15-000047.hdr.sgml : 20150821 20150821154733 ACCESSION NUMBER: 0001607949-15-000047 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150821 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: 151068864 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 LISA MARY FENNER 002149390 N 1 0001607949 First Southwest Company, LLC 04-28-2015 Y 867-00738 SUPERVISED 04-28-2015 325 N ST PAUL STREET STE 800 DALLAS TX 75201 04-2015 FIRST SOUTHWEST COMPANY, LLC DALLAS TX 75201 Y Y CONSULTANT 09-2014 04-2015 UNEMPLOYED ALBUQUERQUE NM 87059 N N UNEMPLOYED 12-2008 08-2014 KPMG CORPORATE FINANCE LLC AUSTIN TX 78701 N Y ADVISORY MANAGING DIRECTOR 02-2007 12-2008 GOLDMAN SACHS & CO HOUSTON TX 77002 N Y VICE PRESIDENT 03-1999 02-2007 RBC CAPITAL MARKETS ALBUQUERQUE NM 87110 N Y PRINCIPAL Y 06-2006 FF&G PROPERTIES LLC 44 WOODLANDS DR TIJERAS NM 87059 N N FF&G PROPERTIES LLC REAL ESTATE RENTAL PROPERTY 0 REAL ESTATE RENTAL PROPERTY 02-2009 RENTAL PROPERTY 705 MAIN ST #206 HOUSTON TX 77002 N N RENTAL PROPERTY RENTAL PROPERTY 0 RENTAL PROPERTY 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 08-21-2015 JOSEPH HAHM COMPLIANCE OFFICER