0001607949-15-000075.txt : 20151103 0001607949-15-000075.hdr.sgml : 20151103 20151103091126 ACCESSION NUMBER: 0001607949-15-000075 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: 151192337 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 CANDACE E SPRINGER 006080971 N 1 0001607949 First Southwest Company, LLC 06-29-2015 N 867-00738 LOCATED 06-29-2015 700 MILAM STREET SUITE 500 HOUSTON TX 77002 06-2015 FIRST SOUTHWEST COMPANY HOUSTON TX 77002 Y Y ANALYST 07-2013 06-2015 AMERICAN INTERNATIONAL GROUP HOUSTON TX 77019 N N BUSINESS ANALYST 08-2012 07-2013 UNEMPLOYED HOUSTON TX 77054 N N UNEMPLOYED 05-2012 08-2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INC. CHARLOTTE NC 28203 N N BUSINESS ANALYST 08-2010 05-2012 UNEMPLOYED HOUSTON TX 77005 N N UNEMPLOYED 05-2010 08-2010 HARRIS COUNTY HOSPITAL DISTRICT HOUSTON TX 77002 N N INTERN 08-2009 05-2010 UNEMPLOYED HOUSTON TX 77002 N N STUDENT 05-2009 08-2009 HARRIS COUNTY FINANCIAL SERVICES HOUSTON TX 77002 N N INTERN 08-2008 05-2009 UNEMPLOYED HOUSTON TX 77002 N N STUDENT 05-2008 08-2008 HARRIS COUNTY PRECINCT ONE HOUSTON TX 77002 N N INTERN 08-2005 05-2008 UNEMPLOYED HOUSTON TX 77002 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 11-02-2015 JOSEPH HAHM COMPLIANCE OFFICER