FSW ADVISORY SERVICES INC.
CRD #148818 SEC #801-69739 DALLAS, TX 800-678-3792
SEC Registered Broker-Dealer Disclosures
Total AUM
$22.8M
Discretionary
$0
Employees
5
Clients
--
Accounts
5
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- May 9, 2019
- Branch Offices
- 1
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| AUSTIN, CAROLINE | I | SECRETARY AND CHIEF INVESTMENT OFFICER | NA | Control |
| AUSTIN, CAROLINE | I | SECRETARY AND CHIEF INVESTMENT OFFICER | NA | Control |
| AUSTIN, CAROLINE | I | SECRETARY AND CHIEF INVESTMENT OFFICER | NA | Control |
| AUSTIN, CAROLINE | I | SECRETARY AND CHIEF INVESTMENT OFFICER | NA | Control |
| AUSTIN, CAROLINE | I | SECRETARY AND CHIEF INVESTMENT OFFICER | NA | Control |
| AUSTIN, CAROLINE | I | SECRETARY AND CHIEF INVESTMENT OFFICER | NA | Control |
| AUSTIN, CAROLINE | I | SECRETARY AND CHIEF INVESTMENT OFFICER | NA | Control |
| AUSTIN, CAROLINE | I | SECRETARY AND CHIEF INVESTMENT OFFICER | NA | Control |
| COGLIANO, MICHAEL, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| COGLIANO, MICHAEL, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| COGLIANO, MICHAEL, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| COGLIANO, MICHAEL, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| COGLIANO, MICHAEL, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| COGLIANO, MICHAEL, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| COMMONS, DAVID, ALAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| COMMONS, DAVID, ALAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| COMMONS, DAVID, ALAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| COMMONS, DAVID, ALAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| COMMONS, DAVID, ALAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| COMMONS, DAVID, ALAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| COMMONS, DAVID, ALAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| COMMONS, DAVID, ALAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| COMMONS, DAVID, ALAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| COMMONS, DAVID, ALAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| COMMONS, DAVID, ALAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| COMMONS, DAVID, ALAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| COMMONS, DAVID, ALAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| COMMONS, DAVID, ALAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| COMMONS, DAVID, ALAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| COMMONS, DAVID, ALAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| COMMONS, DAVID, ALAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| COMMONS, DAVID, ALAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| COULTER, ROBERT, VINCENT | I | CHIEF COMPLIANCE OFFICER / AML OFFICER | NA | Control |
| EDGE, JOSEPH, MICHAEL | I | CHEIF FINANCIAL OFFICER | NA | Control |
| EDGE, JOSEPH, MICHAEL | I | CHEIF FINANCIAL OFFICER | NA | Control |
| EDGE, JOSEPH, MICHAEL | I | CHEIF FINANCIAL OFFICER | NA | Control |
| EDGE, JOSEPH, MICHAEL | I | CHEIF FINANCIAL OFFICER | NA | Control |
| EDGE, JOSEPH, MICHAEL | I | CHEIF FINANCIAL OFFICER | NA | Control |
| EDGE, JOSEPH, MICHAEL | I | CHEIF FINANCIAL OFFICER | NA | Control |
| EDGE, JOSEPH, MICHAEL | I | CHEIF FINANCIAL OFFICER | NA | Control |
| EDGE, JOSEPH, MICHAEL | I | CHEIF FINANCIAL OFFICER | NA | Control |
| EDGE, JOSEPH, MICHAEL | I | CHEIF FINANCIAL OFFICER | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FEINBERG, HILLEL, ARNOLD | I | CHAIRMAN | NA | Control |
| FOLEY, DONALD, FRANCIS | I | CHIEF COMPLIANCE OFFICER & AML COMPLIANCE OFFICER | NA | Control |
| HOLT, DAVID, ERIC | I | CHIEF COMPLIANCE OFFICER / AML OFFICER | NA | |
| HOLT, DAVID, ERIC | I | CHIEF COMPLIANCE OFFICER / AML OFFICER | NA | |
| HOLT, DAVID, ERIC | I | CHIEF COMPLIANCE OFFICER / AML OFFICER | NA | |
| HOLT, DAVID, ERIC | I | CHIEF COMPLIANCE OFFICER / AML OFFICER | NA | |
| HOLT, DAVID, ERIC | I | CHIEF COMPLIANCE OFFICER / AML OFFICER | NA | |
| HOLT, DAVID, ERIC | I | CHIEF COMPLIANCE OFFICER / AML OFFICER | NA | Control |
| HOLT, DAVID, ERIC | I | CHIEF COMPLIANCE OFFICER / AML OFFICER | NA | Control |
| HOLT, DAVID, ERIC | I | CHIEF COMPLIANCE OFFICER / AML OFFICER | NA | Control |
| HOLT, DAVID, ERIC | I | CHIEF COMPLIANCE OFFICER / AML OFFICER | NA | Control |
| HOLT, DAVID, ERIC | I | CHIEF COMPLIANCE OFFICER / AML OFFICER | NA | Control |
| MORRIS, BLAKE, BARNES | I | CHIEF COMPLIANCE OFFICER / AML OFICER | NA | Control |
| MORRIS, BLAKE, BARNES | I | CHIEF COMPLIANCE OFFICER / AML OFICER | NA | Control |
| MORRIS, BLAKE, BARNES | I | CHIEF COMPLIANCE OFFICER / AML OFICER | NA | Control |
| MORRIS, BLAKE, BARNES | I | CHIEF COMPLIANCE OFFICER / AML OFICER | NA | Control |
| MORRIS, BLAKE, BARNES | I | CHIEF COMPLIANCE OFFICER / AML OFICER | NA | Control |
| MORRIS, BLAKE, BARNES | I | CHIEF COMPLIANCE OFFICER / AML OFICER | NA | Control |
| MORRIS, BLAKE, BARNES | I | CHIEF COMPLIANCE OFFICER / AML OFICER | NA | Control |
| MORRIS, BLAKE, BARNES | I | CHIEF COMPLIANCE OFFICER / AML OFICER | NA | Control |
| MORRIS, BLAKE, BARNES | I | CHIEF COMPLIANCE OFFICER / AML OFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MUSCHALEK, JOHN, RICHARD | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
| FIRST SOUTHWEST HOLDING, L.L.C. | DE | PARENT COMPANY | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| HILLTOP HOLDINGS INC. | DE | HILLTOP SECURITIES HOLDINGS, LLC | E | Control |
| HILLTOP HOLDINGS INC. | DE | HILLTOP SECURITIES HOLDINGS, LLC | E | Control |
| HILLTOP HOLDINGS INC. | DE | HILLTOP SECURITIES HOLDINGS, LLC | E | Control |
| HILLTOP HOLDINGS INC. | DE | HILLTOP SECURITIES HOLDINGS, LLC | E | Control |
| HILLTOP HOLDINGS INC. | DE | HILLTOP SECURITIES HOLDINGS, LLC | E | Control |
| HILLTOP HOLDINGS INC. | DE | HILLTOP SECURITIES HOLDINGS, LLC | E | Control |
| HILLTOP HOLDINGS INC. | DE | HILLTOP SECURITIES HOLDINGS, LLC | E | Control |
| HILLTOP HOLDINGS INC. | DE | HILLTOP SECURITIES HOLDINGS, LLC | E | Control |
| HILLTOP HOLDINGS INC. | DE | HILLTOP SECURITIES HOLDINGS, LLC | E | Control |
| HILLTOP HOLDINGS INC. | DE | HILLTOP SECURITIES HOLDINGS, LLC | E | Control |
| HILLTOP HOLDINGS INC. | DE | HILLTOP SECURITIES HOLDINGS, LLC | E | Control |
| HILLTOP HOLDINGS INC. | DE | HILLTOP SECURITIES HOLDINGS, LLC | E | Control |
| HILLTOP SECURITIES HOLDINGS, LLC | DE | FIRST SOUTHWEST HOLDINGS, LLC | E | Control |
| HILLTOP SECURITIES HOLDINGS, LLC | DE | FIRST SOUTHWEST HOLDINGS, LLC | E | Control |
| HILLTOP SECURITIES HOLDINGS, LLC | DE | FIRST SOUTHWEST HOLDINGS, LLC | E | Control |
| HILLTOP SECURITIES HOLDINGS, LLC | DE | FIRST SOUTHWEST HOLDINGS, LLC | E | Control |
| HILLTOP SECURITIES HOLDINGS, LLC | DE | FIRST SOUTHWEST HOLDINGS, LLC | E | Control |
| HILLTOP SECURITIES HOLDINGS, LLC | DE | FIRST SOUTHWEST HOLDINGS, LLC | E | Control |
| HILLTOP SECURITIES HOLDINGS, LLC | DE | FIRST SOUTHWEST HOLDINGS, LLC | E | Control |
| HILLTOP SECURITIES HOLDINGS, LLC | DE | FIRST SOUTHWEST HOLDINGS, LLC | E | Control |
| HILLTOP SECURITIES HOLDINGS, LLC | DE | FIRST SOUTHWEST HOLDINGS, LLC | E | Control |
| HILLTOP SECURITIES HOLDINGS, LLC | DE | FIRST SOUTHWEST HOLDINGS, LLC | E | Control |
| HILLTOP SECURITIES HOLDINGS, LLC | DE | FIRST SOUTHWEST HOLDINGS, LLC | E | Control |
| HILLTOP SECURITIES HOLDINGS, LLC | DE | FIRST SOUTHWEST HOLDINGS, LLC | E | Control |
| PLAINSCAPITAL BANK | DE | PLAINSCAPITAL CORPORATION | E | Control |
| PLAINSCAPITAL BANK | DE | PLAINSCAPITAL CORPORATION | E | Control |
| PLAINSCAPITAL BANK | DE | PLAINSCAPITAL CORPORATION | E | Control |
| PLAINSCAPITAL BANK | DE | PLAINSCAPITAL CORPORATION | E | Control |
| PLAINSCAPITAL BANK | DE | PLAINSCAPITAL CORPORATION | E | Control |
| PLAINSCAPITAL BANK | DE | PLAINSCAPITAL CORPORATION | E | Control |
| PLAINSCAPITAL BANK | DE | PLAINSCAPITAL CORPORATION | E | Control |
| PLAINSCAPITAL BANK | DE | PLAINSCAPITAL CORPORATION | E | Control |
| PLAINSCAPITAL BANK | DE | PLAINSCAPITAL CORPORATION | E | Control |
| PLAINSCAPITAL BANK | DE | PLAINSCAPITAL CORPORATION | E | Control |
| PLAINSCAPITAL BANK | DE | PLAINSCAPITAL CORPORATION | E | Control |
| PLAINSCAPITAL BANK | DE | PLAINSCAPITAL CORPORATION | E | Control |
| PLAINSCAPITAL BANK | DE | PLAINSCAPITAL CORPORATION | E | Control |
| PLAINSCAPITAL BANK | DE | PLAINSCAPITAL CORPORATION | E | Control |
| PLAINSCAPITAL BANK | DE | PLAINSCAPITAL CORPORATION | E | Control |
Registrations
Federal
IA
May 9, 2019 REGISTERED
Notice Filings (2)
MA TX
Address
1201 ELM STREETSUITE 3500
DALLAS, TX 75270
United States
Phone: 800-678-3792