0001607949-15-000067.txt : 20151007 0001607949-15-000067.hdr.sgml : 20151007 20151007091429 ACCESSION NUMBER: 0001607949-15-000067 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: 151147807 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 ROBERT WAYNE PETERSON 002441207 N 1 0001607949 First Southwest Company, LLC 12-15-2014 N 867-00738 LOCATED SUPERVISED 12-15-2014 325 N ST PAUL STREET STE 800 DALLAS TX 75201 BOB NMB PETERSON 12-2014 FIRST SOUTHWEST CO DALLAS TX 75201 Y Y DIRECTOR 11-2013 12-2014 PARK SQUARE PARTNERS LLC DALLAS TX 75230 N Y OWNER/PRINCIPAL 08-2013 11-2013 UNEMPLOYED DALLAS TX 75230 N N UNEMPLOYED 07-2012 08-2013 JC PENNEY PLANO TX 75024 N N SR VP CORPORATE STRATEGY 12-1993 07-2012 PIPER JAFFRAY INC MINNEAPOLIS MN 55402 Y Y GLOBAL HEAD OF EQUITIES Y 11-2013 PARK SQUARE PARTNERS LLC 9918 AVALON CREEK CT DALLAS TX 75230 N Y CONSULTING/ADVISORY WORK OWNER 10 OWNER AND ONLY EMPLOYEE. ALL DUTIES AS ROBER IS THE ONLY EMPLOYEE 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