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