0001607949-16-000102.txt : 20160129 0001607949-16-000102.hdr.sgml : 20160129 20160129122331 ACCESSION NUMBER: 0001607949-16-000102 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: 161372049 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 merideth.murphey@firstsw.com joseph.hahm@firstsw.com blake.morris@firstsw.com josh.dickerson@firstsw.com complianceadministrators@firstsw.com N Y WILLIAM THOMAS JOHNSON 005270247 N 1 0001607949 First Southwest Co 10-16-2006 N 06-06-2014 0001607949 LOCATED SUPERVISED 10-16-2006 325 N ST PAUL STREET STE 800 DALLAS TX 75201 BILL NMN JOHNSON 10-2006 FIRST SOUTHWEST CO DALLAS TX 75201 Y Y SENIOR VICE PRESIDENT 06-2002 10-2006 BOND RESOURCE PARTNERS PHILADELPHIA PA 19103 N N SENIOR MANAGER 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