0001607949-15-000069.txt : 20151007
0001607949-15-000069.hdr.sgml : 20151007
20151007091215
ACCESSION NUMBER: 0001607949-15-000069
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: 151147800
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
CARL
LYNN
GILES
000220552
N
1
0001607949
First Southwest Co
09-02-2004
N
06-06-2014
0001607949
LOCATED
SUPERVISED
09-02-2004
325 N ST PAUL STREET STE 800
DALLAS
TX
75201
09-2004
FIRST SOUTHWEST CO
DALLAS
TX
75201
Y
Y
MANAGING DIRECTOR
09-2000
09-2004
NASD
DALLAS
TX
75201
N
N
COMPLIANCE SPECIALIST
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