0001607949-15-000078.txt : 20151110 0001607949-15-000078.hdr.sgml : 20151110 20151106101644 ACCESSION NUMBER: 0001607949-15-000078 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: 151202826 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 Merideth Murphey 214-953-8728 merideth.murphey@firstsw.com josh.dickerson@firstsw.com joseph.hahm@firstsw.com blake.morris@firstsw.com complianceadministrators@firstsw.com N Y Keith Elroy Kirven Jr 005478259 N 1 0001607949 First Southwest Co 01-15-2008 N 06-06-2014 0001607949 LOCATED 02-10-2014 300 W 6th Street Suite 1940 Austin TX 78701 Keith NMN Kirven 01-2008 First Southwest Co Dallas TX 75201 N N Assistant Vice President 08-2003 01-2008 University of Texas at Austin Austin TX 78705 N N Student 08-2000 05-2003 Coolidge High School Coolidge TX 85128 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 11-05-2015 JOSEPH HAHM COMPLIANCE OFFICER