0001607949-16-000167.txt : 20160129 0001607949-16-000167.hdr.sgml : 20160129 20160129170706 ACCESSION NUMBER: 0001607949-16-000167 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: 161374344 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 MARK AARON MCGRUDER 001886195 N 1 0001607949 First Southwest Co 01-21-2003 N 06-06-2014 0001607949 LOCATED SUPERVISED 01-21-2003 325 N ST PAUL STREET STE 800 DALLAS TX 75201 01-2003 FIRST SOUTHWEST CO DALLAS TX 75201 Y Y SENIOR VICE PRESIDENT 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 Y N N Y N N N Y N N N N 01-29-2016 Chrystal Badillo Compliance Analyst MARK AARON MCGRUDER 001886195 1104171 6I(1)(b) 6I(2)(c)