0001607949-15-000083.txt : 20151210 0001607949-15-000083.hdr.sgml : 20151210 20151210152824 ACCESSION NUMBER: 0001607949-15-000083 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20151208 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: 151280790 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 DONALD EDWARD KRYSKOWSKI 002479568 N 1 0001607949 First Southwest Company, LLC 10-07-2015 N 867-00738 LOCATED 10-07-2015 8055 E. TUFTS AVE SUITE 500 DENVER CO 80237 DON EDWARD KRYSKOWSKI 10-2015 FIRST SOUTHWEST COMPANY, LLC DENVER CO 80237 Y Y MUNICIPAL TRADER 11-2014 09-2015 INVESTMENT PROFESSIONALS INC SAN ANTONIO TX 78232 N Y CAP MARKETS TRADER 05-2014 11-2014 UNEMPLOYED CHICAGO IL 60601 N N UNEMPLOYED 03-2011 05-2014 VINING SPARKS CHICAGO IL 38120 N Y SVP MUNICPAL TRADER 01-1986 03-2011 BANK OF AMERICA/BANK OF AMERICA SERCURITIES LLC SAN FRANCISCO CA 94111 N Y TRADER 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 12-08-2015 Chrystal Badillo Compliance Associate