0001607949-16-000152.txt : 20160129 0001607949-16-000152.hdr.sgml : 20160129 20160129163346 ACCESSION NUMBER: 0001607949-16-000152 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: 161373791 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 JOSEPH YONG HAHM 004933517 N 1 0001607949 First Southwest Co 05-16-2012 N 06-06-2014 0001607949 LOCATED SUPERVISED 05-16-2012 325 N ST PAUL STREET STE 800 DALLAS TX 75201 JOE YONG HAHM 05-2012 FIRST SOUTHWEST CO DALLAS TX 75201 Y Y COMPLIANCE OFFICER 01-2011 05-2012 CAPITAL INSTITUTIONAL SERVICES INC DALLAS TX 75201 N N COMPLIANCE OFFICER 10-2010 01-2011 UNEMPLOYED ARLINGTON TX 76016 N N UNEMPLOYED 04-2010 10-2010 KERSHNER TRADING AUSTIN TX 78758 N N TRADER 03-2009 02-2010 ASSENT LLC AUSTIN TX 78759 N N REGISTERED REPRESENTATIVE 12-2008 03-2009 SOUTHWEST SECURITIES DALLAS TX 75201 Y Y COMPLIANCE EXAMINER 06-2006 12-2008 NEXT FINANCIAL GROUP INC HOUSTON TX 77042 N N TRADER 05-2006 06-2006 UNEMPLOYED AUSTIN TX 78745 N N UNEMPLOYED 03-2005 04-2006 KERSHNER TRADING GROUP LLC AUSTIN TX 78758 N N TRADER 08-2000 01-2005 STUDENT AUSTIN TX 78745 N N STUDENT Y 07-2013 METROVITAMINS.COM 5057 KELLER SPRINGS RD #300 ADDISON TX 75001 N N E-COMMERCE WEBSITE FOR VITAMINS AND SUPPLEMENTS OWNER 5 UPKEEP OF WEBSITE 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