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)