0001607949-16-000172.txt : 20160129
0001607949-16-000172.hdr.sgml : 20160129
20160129170604
ACCESSION NUMBER: 0001607949-16-000172
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: 161374326
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
complianceadministrators@firstsw.com
josh.dickerson@firstsw.com
N
Y
MARY
ELEANOR
WINANS
006347273
N
1
0001607949
First Southwest Co
06-03-2014
N
867-00738
LOCATED
SUPERVISED
06-03-2014
485 MADISON AVE STE 1800
NEW YORK
NY
10022
06-2014
FIRST SOUTHWEST CO
DALLAS
TX
75201
Y
Y
PUBLIC FINANCE ANALYST
01-2012
06-2014
BACHARACH LEADERSHIP GROUP
NEW YORK
NY
10018
N
N
PROJECT DIRECTOR
06-2011
12-2011
APPRISE
PRINCETON
NJ
08542
N
N
ANALYST
08-2007
05-2011
CORNELL UNIVERSITY
ITHACA
NY
14850
N
N
STUDENT
06-2007
08-2007
COUNTRY CLUB OF ITHACA
ITHACA
NY
14850
N
N
MANAGER
09-2003
06-2007
ITHACA HIGH SCHOOL
ITHACA
NY
14850
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