0001607949-15-000058.txt : 20151006 0001607949-15-000058.hdr.sgml : 20151006 20151006172506 ACCESSION NUMBER: 0001607949-15-000058 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20151006 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: 151146745 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 COMPLIANCEADMINISTRATORS@FIRSTSW.COM N Y Daniel Wesley Grant III 001842903 N 1 0001607949 First Southwest Co 05-20-2011 N 06-06-2014 0001607949 LOCATED 05-20-2011 300 W 6th Street Suite 1940 Austin TX 78701 Dan NMN Grant III Dan Wesley Grant 05-2011 First Southwest Co Dallas TX 75201 Y Y Investment Management Vice President 01-1994 05-2011 National Financial Services Corporation Boston MA 02210 Y Y Not Provided 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 10-06-2015 JOSEPH HAHM COMPLIANCE OFFICER