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