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