0001607949-15-000052.txt : 20150922
0001607949-15-000052.hdr.sgml : 20150922
20150922172053
ACCESSION NUMBER: 0001607949-15-000052
CONFORMED SUBMISSION TYPE: MA-I
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20150922
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: 151119898
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
THOMAS
EDWARD
WREN
006006152
N
1
0001607949
First Southwest Company, LLC
09-04-2015
N
867-00738
LOCATED
09-04-2015
485 MADISON AVE SUITE 1800
NEW YORK
NY
10022
TOMMY
EDWARD
WREN
09-2015
FIRST SOUTHWEST COMPANY, INC.
NEW YORK
NY
10022
Y
Y
INSTITUTIONAL SALES
11-2011
08-2015
SOUTHWEST SECURITIES, INC.
ENCINO
CA
91436
N
Y
TRADING ASSISTANT
02-2011
10-2011
UNEMPLOYED
SAINT PAUL
MN
55102
N
N
UNEMPLOYED
09-2010
01-2011
UNIVERSITY OF SAINT THOMAS
SAINT PAUL
MN
55105
N
N
STUDENT
06-2006
09-2010
HILLS BOAT SERVICE
NEWPORT BEACH
CA
92661
N
N
DECKHAND
09-2005
06-2006
MINNEHAHA ACADEMY
MINNEAPOLIS
MN
55406
N
N
STUDENT
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
09-22-2015
JOSEPH HAHM
COMPLIANCE OFFICER