0001607949-15-000073.txt : 20151016 0001607949-15-000073.hdr.sgml : 20151016 20151016144314 ACCESSION NUMBER: 0001607949-15-000073 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20151016 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 SEC ACT: 1934 Act SEC FILE NUMBER: 868-03360 FILM NUMBER: 151161887 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 1 primary_doc.xml MA-I 0001607949 XXXXXXXX JOSEPH HAHM 214-953-8883 JOSEPH.HAHM@FIRSTSW.COM COMPLIANCEADMINISTRATORS@FIRSTSW.COM N N LEONARD JEFFREY MINCH 006239595 N 1 0001607949 First Southwest Company, LLC 10-05-2015 N 867-00738 LOCATED 10-05-2015 5925 CARNEGIE BLVD. SUITE 380 CHARLOTTE NC 28209 10-2015 FIRST SOUTHWEST COMPANY DALLAS TX 75201 Y Y PUBLIC FINANCE 08-2013 10-2015 WELLS FARGO SECURITIES CHARLOTTE NC 28202 N Y ANALYST 03-2013 08-2013 WELLS FARGO SECURITIES SAN FRANCISCO CA 94107 N Y ASSOCIATE 01-2011 03-2013 WELLS FARGO SECURITIES SCOTTSDALE AZ 85251 N Y ANALYST 11-2010 01-2011 UNEMPLOYED AUSTIN TX 78703 N N UNEMPLOYED 06-2010 11-2010 INTERNATIONAL BANK OF COMMERCE AUSTIN TX 78701 N Y CREDIT ANALYST 05-2009 06-2010 UNEMPLOYED AUSTIN TX 78703 N N UNEMPLOYED 09-2003 05-2009 STUDENT ATHENS 2Q 30602 N N STUDENT 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 10-16-2015 JOSEPH HAHM COMPLIANCE