0000049303-14-000027.txt : 20140929 0000049303-14-000027.hdr.sgml : 20140929 20140929183549 ACCESSION NUMBER: 0000049303-14-000027 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140730 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: 141127918 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 RUSSELL LEE GOINGS III 001018872 N 1 0000049303 HUTCHINSON, SHOCKEY, ERLEY & CO. 08-16-2010 N 07-17-2014 0000049303 LOCATED 08-16-2010 811 WILSHIRE BLVD SUITE 1810 LOS ANGELES CA 90071 RUSSEL LEE GOINGS III RUSSELL LEE GOINGS 08-2010 HUTCHINSON, SHOCKEY, ERLEY & CO LOS ANGELES CA 90071 Y Y SR VICE PRESIDENT 01-2009 07-2010 CABRERA CAPITAL MARKETS, LLC CHICAGO IL 60603 Y Y MANAGING DIRECTOR 04-2007 12-2008 FIRST SOUTHWEST COMPANY SANTA MONICA CA 90404 Y Y PUBLIC FINANCE 05-1996 03-2007 FIRST ALBANY CORPORATION LOS ANGELES CA 90071 Y Y SR VICE PRESIDENT 12-1995 04-1996 UNEMPLOYED LOS ANGELES CA 90043 N N UNEMPLOYED 06-1993 11-1995 LAZARD FRERES & CO, LLC LOS ANGELES CA 90067 Y Y VICE PRESIDENT 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 Y N N N N N N N 07-30-2014 NANCY L. MEIER CFO/CCO/TREASURER RUSSELL LEE GOINGS, III 001018872 235797 6J(1)