0000049303-14-000018.txt : 20140929 0000049303-14-000018.hdr.sgml : 20140929 20140929183715 ACCESSION NUMBER: 0000049303-14-000018 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140729 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HUTCHINSON, SHOCKEY, ERLEY & CO. CENTRAL INDEX KEY: 0000049303 IRS NUMBER: 362355753 STATE OF INCORPORATION: IL FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: MA-I SEC ACT: 1934 Act SEC FILE NUMBER: 868-03024 FILM NUMBER: 141127929 BUSINESS ADDRESS: STREET 1: 222 WEST ADAMS-STE 1700 CITY: CHICAGO STATE: IL ZIP: 60606-5308 BUSINESS PHONE: (312) 443-1560 MAIL ADDRESS: STREET 1: 222 WEST ADAMS-STE 1700 CITY: CHICAGO STATE: IL ZIP: 60606-5308 FORMER COMPANY: FORMER CONFORMED NAME: HUTCHINSON SHOCKEY ERLEY & CO /BD DATE OF NAME CHANGE: 20000101 MA-I 1 primary_doc.xml MA-I 0000049303 XXXXXXXX NANCY L MEIER 312-443-1558 NMEIER@HSEMUNI.COM N JAMES RUDOLPH NIEDERLE 001585894 N 1 0000049303 HUTCHINSON, SHOCKEY, ERLEY & CO. 12-01-2009 N 07-17-2014 0000049303 LOCATED 12-01-2009 4545 POST OAK PLACE SUITE 215 HOUSTON TX 77027 JIM RODULPH NIEDERLE 12-2009 HUTCHINSON, SHOCKEY, ERLEY & CO HOUSTON TX 77027 Y Y SR VICE PRESIDENT 07-2009 11-2009 COASTAL SECURITIES, INC HOUSTON TX 77024 Y Y BANKER 12-2007 06-2009 OPPENHEIMER & CO DALLAS TX 75240 Y Y INVESTMENT BANKER 07-2007 11-2007 COASTAL SECURITIES, INC HOUSTON TX 77024 Y Y SENIOR ADVISOR 12-2004 06-2007 ESTRADA HINOJOSA & COMPANY, INC HOUSTON TX 77056 Y Y SENIOR VICE PRESIDENT 09-2003 11-2004 U.S. BANCORP PIPER JAFFRAY HOUSTON TX 77002 Y Y INVESTMENT BANKER Y 08-2009 JIM, JEAN INC 73 EAST BORAD OAKS DRIVE HOUSTON TX 77056 N N LIMITED PARTNERSHIP PRESIDENT 0 CURRENTLY NOT ACTIVE 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 07-29-2014 NANCY L MEIER CFO/CCO/TREASURER