Last $6.91 USD
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As of 4:30 PM 12/31/14 All times are local (Market data is delayed by at least 15 minutes).
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Company Description

Contact Info

1201 Elm Street

Suite 3500

Dallas, TX 75270

United States

Phone: 214-859-1800


nclude corporations, insurance companies, banks, mutual funds, money managers, and other institutions. Southwest Securities has fixed income offices in Dallas, Texas; Encino and San Francisco, California; Aspen and Evergreen, Colorado; Ft. Lauderdale and Palm Beach Gardens, Florida; Chicago, Illinois; and New York, New York. The company’s equity trading department focuses on executing equity and option orders on an agency basis for clients. It also has a portfolio trading group that executes large institutional portfolios. The company’s syndicate department, housed within its fixed income sales group, coordinates the distribution of managed and co-managed corporate equity underwritings, accepts invitations to participate in competitive or negotiated underwritings managed by other investment banking firms, and allocates and markets its selling allotments to institutional clients and other broker/dealers. Banking This segment offers traditional banking products and services through eight full-service banking centers with six banking centers located in Texas, one located in each of Arlington, Dallas, El Paso, Fort Worth, Granbury, and Waxahachie; and two banking centers located in New Mexico, one located in each of Albuquerque and Ruidoso. The company’s focus in business banking includes small business (Small Business Administration) lending. It originates the majority of its loans internally. The bank offers a range of deposit products, including checking, savings, money market, and certificates of deposit. As a full-service lender, the bank offers competitive rates and terms on business loans, as well as a line of consumer loans. Customers have access to Internet banking services and online bill payment. The bank offers commercial loans, commercial real estate loans, and consumer loans, primarily in Texas and New Mexico. The company’s mortgage purchase division purchases participations in newly originated residential loans (primarily 1-4 family residential loans) from various mortgage bankers nationwide. As of June 30, 2014, the bank had 36 customer/originators across the nation. Customers As of June 30, 2014, the company provided full-service securities brokerage to approximately 55,000 client accounts and clearing services to approximately 98,000 additional client accounts. It provided deposit and loan services to approximately 86,000 customers through the bank and its subsidiaries, which included approximately 83,000 Southwest Securities’ customer accounts. Regulation The company is regulated by the Securities and Exchange Commission (SEC) and is subject to the disclosure and regulatory requirements of the Securities Act of 1933, as amended; and the Securities Exchange Act of 1934, as amended and the regulations promulgated hereunder, as administered by the SEC. Under the Sarbanes-Oxley Act of 2002, as amended, the company is required to meet certain requirements regarding business dealings with members of its Board of Directors, the structure of its Audit Committee, and ethical standards for its senior financial officers. The company is regulated under the Savings and Loan Holding Company Act, as amended, and its subsidiaries that are not functionally regulated are subject to inspection, examination, and supervision by the Board of Governors of the Federal Reserve System. The company’s broker/dealer subsidiaries must also comply with the USA PATRIOT Act of 2001, as amended, and other rules and regulations designed to fight international money laundering and to block terrorist access to the U.S. financial system. The company is required to have systems and procedures to ensure compliance with such laws and regulations. Southwest Securities and SWS Financial are registered with, and subject to oversight and inspection by, the SEC as investment advisers under the Investment Advisers Act of 1940, as amended. The bank is subject to regulation by the Consumer Financial Protection Bureau, established by the Dodd-Frank Wall Street Reform and Consumer Protection Act as an independent entity within the Federal Reserve, which has the authority to promulgate consumer protection regulations applicab


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