0001607949-16-000100.txt : 20160129 0001607949-16-000100.hdr.sgml : 20160129 20160129122252 ACCESSION NUMBER: 0001607949-16-000100 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20160129 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: 161372041 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 JOSH DICKERSON 214-953-4057 josh.dickerson@firstsw.com complianceadministrators@firstsw.com joseph.hahm@firstsw.com merideth.murphey@firstsw.com blake.morris@firstsw.com josh.dickerson@firstsw.com N Y BENJAMIN KIPTANUI BOR 006302495 N 1 0001607949 First Southwest Co 02-18-2014 N 867-00738 LOCATED SUPERVISED 02-18-2014 325 N ST PAUL STREET STE 800 DALLAS TX 75201 02-2014 FIRST SOUTHWEST CO DALLAS TX 75201 Y Y PUBLIC FINANCE ANALYST 12-2013 02-2014 UNEMPLOYED DALLAS TX 75243 N N UNEMPLOYED 10-2013 12-2013 EXTENDHEALTH DALLAS TX 75243 N N DATA PROCESSOR 08-2012 10-2013 WESTMINSTER COLLEGE FULTON MO 65251 N N STUDENT 06-2012 08-2012 RPCD INC DALLAS TX 75209 N N SITE MANAGER 08-2011 06-2012 WESTMINSTER COLLEGE FULTON MO 65251 N N STUDENT 05-2010 08-2011 YMCA OF DALLAS DALLAS TX 75201 N N CAMP COUNSELOR 05-2009 05-2010 WESTMINSTER COLLEGE FULTON MO 65251 N N STUDENT 05-2004 05-2009 LAKE HIGHLANDS HIGH SCHOOL DALLAS TX 75243 N N STUDENT 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 01-29-2016 Chrystal Badillo Compliance Analyst