First Southwest Co., LLC 

TX

  SEC # 1607949

        

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412  SEC Filings   from  10/7/14  to  9/12/17  (None in the Past Year)

List All Filings	or	Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent
Most-Recent Filing:		‘MA-I/A’ — Amendment to Info re: a Natural Person Who Engages in Municipal Advisory Activity — Form MA-I — Filed as:  Filer / Offerer
New-Filing E-Mail:			Send me notifications of all Filings involving  First Southwest Co., LLC

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Forms , Documents & Exhibits  in  412 Filings  Filed as:  Filer / Offerer  or  Owner / Insider

        

Latest Filing			Type		Category	Description		Documents
9/12/17	OLD		MA-I		Registration:		Info re: Natural Persons Who Engage in Municipal Advisory Activity — Form MA-I  OLD	405
2/3/16	OLD		MA-W		Registration:		Notice of a Withdrawal from Registration by a Municipal Advisor — Form MA-W  OLD	1
4/29/15	OLD		MA		Registration:		Applications for Registrations by Municipal Advisors — Form MA  OLD	5
1/15/15	OLD		MA-A		Registration:		Annual Update of Registration by a Municipal Advisor — Form MA  OLD	1
					Additional Exhibits:
2/4/15	OLD		EX-99  &  EX-99.*		Miscellaneous Exhibits, such as Press Releases  OLD  — EX-99.*  Form-Specific Exhibits...  Forms Funding Portal & MA*:  6 Applicable Court Documents;  1 Applicable Regulatory Document  (7 total)			7

No Forms  nor  Documents  Filed re:  Issuer / Subject Company

        

        

Filings History

Year		# of Filings
2016		143
2015		84
2014		185