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)
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6C(4)
6C(5)
6C(6)