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