| Relationships | Role | Relationship Start | Relationship End |
| First Southwest Holdings, Llc | Parent | 12/31/2014 | 1/21/2016 |
| First Southwest Holdings, Llc | Parent | 12/31/2008 | 12/30/2014 |
| First Southwest Cde, Llc | Subsidary | 12/31/2008 | 11/30/2012 |
| Acquisitions & Mergers | Role | Assets | Acct Method | Type | Transaction Date |
| Hilltop Securities Inc. | Buyer | Discontinued | 1/22/2016 |