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