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