Company profile
Ticker
SWS
Exchange
Employees
Incorporated
Location
Fiscal year end
Industry (SIC)
Former names
Southwest Securities Group Inc, SWS Group Inc
SEC CIK
Corporate docs
IRS number
752040825
SEC advisor number
801-55529
FINRA CRD number
6220
AUM ?
$1.10 bn
(as of 4 Dec 19)
Accounts
3,761
(as of 4 Dec 19)
Employees
167
(167 investment advisory or research)
Address
SWS
SUITE 3500
1201 ELM STREET
DALLAS
TX 75270
SUITE 3500
1201 ELM STREET
DALLAS
TX 75270
Phone
2146511800
Latest filings (excl ownership)
15-12G
Securities registration termination
15 Jan 15
25-NSE
Exchange delisting
5 Jan 15
EFFECT
Notice of effectiveness
5 Jan 15
EFFECT
Notice of effectiveness
5 Jan 15
EFFECT
Notice of effectiveness
5 Jan 15
8-K
Termination of a Material Definitive Agreement
2 Jan 15
POS AM
Prospectus update (post-effective amendment)
2 Jan 15
POS AM
Prospectus update (post-effective amendment)
2 Jan 15
POS AM
Prospectus update (post-effective amendment)
2 Jan 15
RW
Registration withdrawal request
2 Jan 15
Latest ownership filings
13F-NT
Notice of holdings reported by another manager
15 May 24
13F-NT
Notice of holdings reported by another manager
13 Feb 24
13F-NT
Notice of holdings reported by another manager
14 Nov 23
13F-NT
Notice of holdings reported by another manager
14 Aug 23
13F-NT
Notice of holdings reported by another manager
15 May 23
13F-NT
Notice of holdings reported by another manager
15 Feb 23
13F-NT
Notice of holdings reported by another manager
15 Nov 22
13F-NT
Notice of holdings reported by another manager
16 Aug 22
13F-NT
Notice of holdings reported by another manager
16 May 22
13F-NT
Notice of holdings reported by another manager
14 Feb 22
Institutional ownership, Q2 2021
13F holders | Current |
---|---|
Total holders | 0 |
Opened positions | 0 |
Closed positions | 0 |
Increased positions | 0 |
Reduced positions | 0 |
13F shares | Current |
---|---|
Total value | 0.00 |
Total shares | 0.00 |
Total puts | 0.00 |
Total calls | 0.00 |
Total put/call ratio | – |
Largest owners | Shares | Value |
---|