0000768965-21-000008.txt : 20211229 0000768965-21-000008.hdr.sgml : 20211229 20211229151818 ACCESSION NUMBER: 0000768965-21-000008 CONFORMED SUBMISSION TYPE: MA-A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20211117 DATE AS OF CHANGE: 20211229 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-A SEC ACT: 1934 Act SEC FILE NUMBER: 867-01884 FILM NUMBER: 211528618 BUSINESS ADDRESS: STREET 1: 7047 E GREENWAY PARKWAY STREET 2: SUITE 350 CITY: SCOTTSDALE STATE: AZ ZIP: 85254 BUSINESS PHONE: 214-545-3301 MAIL ADDRESS: STREET 1: 7047 E GREENWAY PARKWAY STREET 2: SUITE 350 CITY: SCOTTSDALE STATE: AZ ZIP: 85254 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-A 1 primary_doc.xml MA-A 0000768965 XXXXXXXX Kenneth A Madsen 480-778-2000 kmadsen@ffec.com kmadsen@ffec.com 12-31-2016 Y FIRST FINANCIAL EQUITY CORPORATION 16507 86-0511639 867-01884 008-34082 16507 801-63970 16507 7373 N. SCOTTSDALE ROAD STE D120 SCOTTSDALE AZ 85253 480-951-0079 866-406-7302 Add 14135 Midway Road Suite G-100 Addison TX 75001 214-545-3300 214-545-3332 Delete 550 North 31st Street Suite 500 Billings MT 59101 406-294-2808 406-294-2809 N www.ffec.com Randy Wayne Sitzman

7373 N. Scottsdale Road D120 Scottsdale AZ 85253

480-951-0079 866-406-7302 kmadsen@ffec.com December DE 04-20-1985 N 174 3 3 3 0 8 Municipal Entities Non-profit organizations Corporations or other businesses Other Colleges and Universities 0 0 0 529 Plans Local government investment pools State government investment pools Hospitals Colleges Not Applicable Other basis points, fees or commissions Basis points and fees are paid by the place of deposit for cash management. Advice Investment Of Proceeds MS Advice ME Investments Advice ME Other Investments Y Y Y Y N Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser 3 Add Investment Adviser Thomas Dunn First Financial Equity Corporation N N N Delete Investment Adviser Zachary Allen First Financial Equity Corporation N N N Delete Investment Adviser David Carter First Financial Equity Corporation N N N Add Investment Adviser Alphonsus R Panzera First Financial Equity Corporation N N N NewAdd Investment Adviser Mark Lindau First Financial Equity Corporation N N N N Y N N N N N N N Y Y Y Y N N N N N N N N N N N N N N N N Y N N N N N N N N N N Jeffrey Scott Graves President/CEO 01-01-2017 D Y 1398578 Randy Wayne Sitzman COO/Secretary/Treasurer 09-01-2017 D Y 1705671 Kenneth Anthony Madsen Chief Compliance Officer 03-16-2020 NA Y 1126819 Andrew Lee Sitzman CFO 12-15-2019 NA Y 6877630 Delete Jeffrey Scott Graves President/CEO 01-01-2017 D Y 1398578 Amend Randy Wayne Sitzman CCO 09-01-2017 NA N 1705671 Delete Kenneth Anthony Madsen Chief Compliance Officer 03-16-2020 NA Y 1126819 Delete Andrew Lee Sitzman CFO 12-15-2019 NA Y 6877630 NewAdd George Edward Fischer President/Director/GP DPP 02-01-1997 E Y 1315706 NewAdd Geoff Adam Havre Secretary/FINOP 04-01-1997 A Y 1793873 NewAdd Ross William Sindelar Director of Telecommunications 02-01-2016 NA N 2729154 NewAdd Melissa Ann Strouse Senior Compliance Officer/Owner 12-01-2004 NA N 3200452 9-E2 First Financial Equity Corporation 16507 1478484 2 9-E4 First Financial Equity Corporation 16507 975429 George Edward Fischer N 1315706 George Edward Fischer 1315706 975429 Geoff Adam Havre N 1793873 Geoff Adam Havre 1793873 975429 9-D5 First Financial Equity Corporation 16507 1302508 Kenneth Madsen Kenneth Madsen Chief Compliance Officer 11-17-2021 1126819 N N N N N N N Y N N N N N N Y N N N N N N