0001607949-15-000074.txt : 20151103 0001607949-15-000074.hdr.sgml : 20151103 20151103091136 ACCESSION NUMBER: 0001607949-15-000074 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20151102 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: 151192339 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 JOSEPH.HAHM@FIRSTSW.COM BLAKE.MORRIS@FIRSTSW.COM COMPLIANCEADMINISTRATORS@FIRSTSW.COM N N COLBY GENE ECKOLS 005710863 N 1 0001607949 First Southwest Company, LLC 05-27-2015 N 867-00738 LOCATED 05-27-2015 300 W 6th Street Suite 1940 Austin TX 78701 05-2014 FIRST SOUTHWEST COMPANY DALLAS TX 75201 Y Y VICE PRESIDENT 05-2008 05-2014 PUBLIC FINANCIAL MANAGEMENT PHILADELPHIA PA 19103 N Y SENIOR MANAGING CONSULTANT 10-2005 04-2008 MUNICIPAL ADVISORY COUNCIL OF TEXAS AUSTIN TX 78701 N N FINANCIAL ANALYST 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 11-02-2015 JOSEPH HAHM COMPLIANCE OFFICER