0001607949-15-000079.txt : 20151112 0001607949-15-000079.hdr.sgml : 20151112 20151112165006 ACCESSION NUMBER: 0001607949-15-000079 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20151112 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: 151225512 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 COMPLIANCEADMINISTRATORS@FIRSTSW.COM N N LARRY STEWART GIVEN 000725687 N 1 0001607949 First Southwest Company, LLC 11-03-2015 N 867-00738 LOCATED 11-03-2015 2398 E CAMELBACK RD SUITE 340 PHOENIX AZ 85016 11-2015 FIRST SOUTHWEST COMPANY, LLC DALLAS TX 75201 Y Y PUBLIC FINANCE SVP 10-2008 11-2015 WEDBUSH MORGAN SECURITIES INC. PHOENIX AZ 85016 Y Y REP 08-2002 10-2008 PEACOCK HISLOP STALEY & GIVEN INC MESA AZ 85018 Y Y MANAGING DIRECTOR N N N N N N N N N Y Y N Y Y N N N N N N N N N N N Y Y N N N N N N N N N N N N N N N N N N N N N N N N 11-12-2015 JOSEPH HAHM COMPLIANCE OFFICER LARRY GIVEN 000725687 182148 6C(1) 6C(7) 6C(2) 6C(4) 6C(5) 6C(6)