0001607949-15-000050.txt : 20150910 0001607949-15-000050.hdr.sgml : 20150910 20150910164430 ACCESSION NUMBER: 0001607949-15-000050 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150910 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: 151101597 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 JOSH DICKERSON 214-953-4057 josh.dickerson@firstsw.com merideth.murphey@firstsw.com joseph.hahm@firstsw.com blake.morris@firstsw.com N N EMILY BURKE HUNDLEY 005694342 N 1 0001607949 First Southwest Co 07-13-2009 N 06-06-2014 0001607949 LOCATED SUPERVISED 07-13-2009 325 N ST PAUL STREET STE 800 DALLAS TX 75201 EMILY NMN FATICA EMILY B FATICA EMILY FATICA HUNDLEY 07-2009 FIRST SOUTHWEST CO DALLAS TX 75201 Y Y ASSISTANT VICE PRESIDENT 05-2009 07-2009 NOKA CHOCOLATE DALLAS TX 75204 N N ASSOCIATE 09-2008 05-2009 UNEMPLOYED DALLAS TX 75206 N N UNEMPLOYED 05-2004 09-2008 TOWN OF GREENWICH GREENWICH CT 06830 N N LIFEGUARD 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 N 09-10-2015 JOSEPH HAHM COMPLIANCE OFFICER