Trading · authorized participant (AP)

First Southwest Co., LLC

First Southwest Co., LLC was listed as an authorized participant (AP) for 56 US ETFs in the Form N-CEN period ending Aug 31, 2025. It created or redeemed no shares in any of them.

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First Southwest Co., LLC
#CategoryShare of its dollarsETFs servedActive inCreated ↓RedeemedOnly active AP in
1U.S. stocksno activity290$0$00
2International stocksno activity10$0$00
3Sector stocksno activity100$0$00
4Bondsno activity120$0$00
5Themesno activity40$0$00
As of Sep 23, 2026. Source: ETFIQ from Form N-CEN.

First Southwest Co. by category

The ETFs First Southwest Co., LLC serves, by the category each is placed in, with what it created and redeemed in each.

First Southwest Co. by category, as of Sep 23, 2026. Source: ETFIQ from Form N-CEN.
#CategoryShare of its dollarsETFs servedActive inCreatedRedeemedOnly active AP in
1U.S. stocksno activity290$0$00
2International stocksno activity10$0$00
3Sector stocksno activity100$0$00
4Bondsno activity120$0$00
5Themesno activity40$0$00

Questions people ask

Is First Southwest Co. an ETF authorized participant (AP)?

Yes. First Southwest Co., LLC is listed as an AP for 56 US ETFs in the Form N-CEN period ending Aug 31, 2025, and created or redeemed shares in 0 of them.

Where do these figures come from?

From item E.2 of each ETF’s latest Form N-CEN, which names its APs and the dollars each created and redeemed. ETFIQ groups the rows by First Southwest Co.’s CRD, SEC file number and LEI, never by the name as typed.

Method

First Southwest Co., LLC is identified by CRD 316, SEC file number 8-1523, LEI 25490055U3028R46H550. Its SEC file number is not on the SEC’s list of active broker-dealers dated Oct 1, 2026. Funds filed its name 1 way; every spelling is in dealers.json. Every row is one authorized participant (AP) listed in item E.2 of an ETF’s latest Form N-CEN, with the dollars of the fund’s shares it purchased from the fund (created) and redeemed in the fund’s reporting period, as filed. A fund’s period is its own fiscal year, or less where the filing says so, so a firm’s total adds periods that end on different days. Rows are grouped into firms by the identifiers each row carries: the CRD number first, the SEC file number and LEI where the CRD is missing or typed wrong, never by name. 71 of 75,056 rows carry a CRD their file number and LEI place on another firm, and are counted there.

The rest of the method

A firm’s name is its registration on the SEC’s list of active broker-dealers where it is on it. Spot crypto and commodity trusts and ETNs file no N-CEN and are not here.

How these figures are computed →Standards and sources →
Where to next
Most active APs for U.S. stock ETFs→Most active APs for international stock ETFs→Most active APs for sector stock ETFs→Every ETF authorized participant (AP)→The most active APs→Most active APs for U.S. stock ETFs→Most active APs for international stock ETFs→Most active APs for sector stock ETFs→Most active APs for bond ETFs→ETF lead market makers (LMMs)→How the AP list is built→The open data file→Fund flows→
Where these figures came from
SEC Form N-CEN data sets, the source of every AP row ↗Form N-CEN, item E.2: each authorized participant and its dollars ↗SEC list of active broker-dealers, the source of each firm’s registered name ↗

ETFIQ links to the documents behind every figure; a link is not an endorsement. A list of firms is not a rating or a recommendation.

Questions people ask

Is First Southwest Co. an ETF authorized participant (AP)?

Yes. First Southwest Co., LLC is listed as an AP for 56 US ETFs in the Form N-CEN period ending Aug 31, 2025, and created or redeemed shares in 0 of them.

Where do these figures come from?

From item E.2 of each ETF’s latest Form N-CEN, which names its APs and the dollars each created and redeemed. ETFIQ groups the rows by First Southwest Co.’s CRD, SEC file number and LEI, never by the name as typed.

Cite this pageCitation, APA and Markdown

ETFIQ, First Southwest Co., LLC as an ETF authorized participant, data as of Sep 23, 2026. https://etfiq.com/trading/authorized-participants/first-southwest/

Open data →

Free to use with attribution for figures ETFIQ computes; issuer data stays under its owner's terms. The underlying files are at Open data.