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