0000768965-21-000004.txt : 20210723 0000768965-21-000004.hdr.sgml : 20210723 20210723162628 ACCESSION NUMBER: 0000768965-21-000004 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 ALLISON,MICHAEL,J, FILED AS OF DATE: 20210723 DATE AS OF CHANGE: 20210723 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST FINANCIAL EQUITY CORPORATION CENTRAL INDEX KEY: 0000768965 IRS NUMBER: 860511639 STATE OF INCORPORATION: AZ FISCAL YEAR END: 1200 FILING VALUES: FORM TYPE: MA-I/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-04993 FILM NUMBER: 211111129 BUSINESS ADDRESS: STREET 1: 7373 N. SCOTTSDALE ROAD STREET 2: STE D120 CITY: SCOTTSDALE STATE: AZ ZIP: 85253 BUSINESS PHONE: 214-545-3301 MAIL ADDRESS: STREET 1: 7373 N. SCOTTSDALE ROAD STREET 2: STE D120 CITY: SCOTTSDALE STATE: AZ ZIP: 85253 FORMER COMPANY: FORMER CONFORMED NAME: FIRST FINANCIAL EQUITY Corp DATE OF NAME CHANGE: 20200123 FORMER COMPANY: FORMER CONFORMED NAME: FIRST FINANCIAL EQUITY CORPORATION DATE OF NAME CHANGE: 20020206 FORMER COMPANY: FORMER CONFORMED NAME: FIRST FINANCIAL EQUITY CORP /BD DATE OF NAME CHANGE: 20020206 MA-I/A 1 primary_doc.xml MA-I/A 0000768965 XXXXXXXX Kenneth Madsen 480-951-0079 kmadsen@ffec.com Y Y Michael j Allison 2305589 N 1 0000768965 FIRST FINANCIAL EQUITY CORPORATION 10-29-2014 N 08-14-2015 0000768965 LOCATED 10-29-2014 5005 LBJ Freeway, Suite 1410 Dallas TX 85244 Mike J Allison 10-2014 First Financial Equity Corporation Dallas TX 75244 Y Y Registered Representative / IAR 05-2011 10-2014 Red Rock Consulting Athens TX 75727 N N Owner 03-2011 05-2011 Southwest Securities Inc. Dallas TX 75270 N N Recruiter 09-2009 03-2011 Red Rock Consulting Athens TX 75727 N N President 03-2009 06-2009 SWS Financial Group Dallas TX 75205 N N Tester 06-2006 03-2009 CCG Value Partners Tomball TX 77377 N N Vice President 05-2003 06-2006 Capital One Austin TX 78737 N N Senior Account Executive Y 10-2014 Stonegate Investments 5005 LBJ Freeway, Suite 1410 Dallas TX 75244 N Y DBA only Self 160 This is a DBA only, with all business being conducted under First Financial Equity Corporation 10-2014 Trainer 5005 LBJ Freeway, Suite 1410 Dallas TX 75244 N N Training Self 30 TRAINING FOR MUNICIPALITIES ON REGULATION(S) REGARDING INVESTMENTS 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 07-23-2021 Kenneth Madsen Chief Compliance Officer