0001607949-15-000082.txt : 20151208 0001607949-15-000082.hdr.sgml : 20151208 20151208114046 ACCESSION NUMBER: 0001607949-15-000082 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20151207 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: 151274504 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 JOSEPH HAHM 214-953-8883 JOSEPH.HAHM@FIRSTSW.COM complianceadministrators@firstsw.com N Y SUSAN KELLI ROSS 001428365 N 1 0001607949 First Southwest Co 06-23-1997 N 867-00738 LOCATED SUPERVISED 06-23-1997 325 N ST PAUL STREET STE 800 DALLAS TX 75201 06-1997 FIRST SOUTHWEST CO DALLAS TX 75201 Y Y VICE PRESIDENT 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 N N N N N N N N N N N N N N N N N N N N 12-07-2015 JOSEPH HAHM COMPLIANCE SUSAN KELLI ROSS 001428365 1712538 6B(1)(a) 6B(1)(b)