0001607949-15-000077.txt : 20151110 0001607949-15-000077.hdr.sgml : 20151110 20151106101634 ACCESSION NUMBER: 0001607949-15-000077 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20151105 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: 151202824 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 JOSH DICKERSON 214-953-4057 josh.dickerson@firstsw.com merideth.murphey@firstsw.com joseph.hahm@firstsw.com blake.morris@firstsw.com N Y TAWNYA MARIE BETANCOURT 005424979 N 1 0001607949 First Southwest Co 09-18-2007 N 06-06-2014 0001607949 LOCATED SUPERVISED 09-18-2007 1620 26TH ST STE 230 SANTA MONICA CA 90404 TAWNYA NMN AGUIRRE TAWNYA MARIE AGUIRRE 09-2007 FIRST SOUTHWEST CO DALLAS TX 75201 Y Y ADMINISTRATIVE ASSISTANT 01-2005 09-2007 PRUDENTIAL CALIFORNIA REALTY RIVERSIDE CA 92503 N N REAL ESTATE AGENT 02-2002 01-2005 WEDDINGCHANNEL.COM LOS ANGELES CA 90036 N N EXECUTIVE ASSISTANT 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 11-05-2015 JOSEPH HAHM COMPLIANCE OFFICER