0001607949-15-000048.txt : 20150909 0001607949-15-000048.hdr.sgml : 20150909 20150909083603 ACCESSION NUMBER: 0001607949-15-000048 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150908 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: 151098006 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 josh.dickerson@firstsw.com blake.morris@firstsw.com merideth.murphey@firstsw.com N Y Michael George Bartolotta 001620103 N 1 0001607949 First Southwest Co 02-01-1996 N 06-06-2014 0001607949 LOCATED SUPERVISED 03-07-2006 700 Milam Street Suite 500 Houston TX 77002 Michael NMN Bartolotta 02-1996 First Southwest Co Dallas TX 75201 Y Y Public Finance Investment Banker Y 01-2014 Memorial Herman Hospital 16538 Air Center Blvd Houston TX 77032 N N Hospital Board Member 4 Board Member 02-2012 MBJ Water Corporation 4265 San Felipe Suite 1100 Houston TX 77027 N N Developmental company for water treatment Vice President/Secretary 6 Business development organization and investment 08-2010 University of St Thomas 3800 Montrose Boulevard Houston TX 77006 N N Higher Education Board Member 3 Science advisory board for the development of school facilities 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 09-08-2015 JOSEPH HAHM COMPLIANCE OFFICER