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