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