0001607949-16-000117.txt : 20160129
0001607949-16-000117.hdr.sgml : 20160129
20160129163202
ACCESSION NUMBER: 0001607949-16-000117
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: 161373757
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
N
Y
JOHN
DANIEL
TURBENSON
005670720
N
1
0001607949
First Southwest Co
05-18-2009
N
06-06-2014
0001607949
LOCATED
SUPERVISED
05-18-2009
325 N ST PAUL STREET STE 800
DALLAS
TX
75201
DANIEL
NMN
TURBENSON
DAN
NMN
TURBENSON
05-2009
FIRST SOUTHWEST CO
DALLAS
TX
75201
Y
Y
ANALYST
08-2008
05-2009
SOUTHERN METHODIST UNIVERSITY
DALLAS
TX
75204
N
N
STUDENT
06-2008
07-2008
KISSINGER FINANCIAL SERVICES INC
COCKEYSVILLE
MD
21030
N
Y
INTERN
06-2007
05-2008
UNEMPLOYED
DALLAS
TX
75251
N
N
UNEMPLOYED
06-2005
05-2007
BROOKHAVEN COMMUNITY COLLEGE
FARMERS BRANCH
TX
75244
N
N
STUDENT
08-2001
05-2005
NEWMAN SMITH HIGH SCHOOL
CARROLLTON
TX
75006
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