0000752798-14-000014.txt : 20150130 0000752798-14-000014.hdr.sgml : 20150130 20150130152515 ACCESSION NUMBER: 0000752798-14-000014 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20141009 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PROEQUITIES, INC. CENTRAL INDEX KEY: 0000752798 IRS NUMBER: 630879387 STATE OF INCORPORATION: AL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I SEC ACT: 1934 Act SEC FILE NUMBER: 868-04672 FILM NUMBER: 15562814 BUSINESS ADDRESS: STREET 1: 2801 HIGHWAY 280 SOUTH CITY: BIRMINGHAM STATE: AL ZIP: 35223 BUSINESS PHONE: (205) 268-3369 MAIL ADDRESS: STREET 1: P.O. BOX 518 CITY: BIRMINGHAM STATE: AL ZIP: 35201-0518 FORMER COMPANY: FORMER CONFORMED NAME: PROEQUITIES INC DATE OF NAME CHANGE: 20020129 FORMER COMPANY: FORMER CONFORMED NAME: PROTECTIVE EQUITY SERVICES INC /BD DATE OF NAME CHANGE: 19950206 MA-I 1 primary_doc.xml MA-I 0000752798 XXXXXXXX Suzette Foster 2052683369 suzette.foster@proequities.com N Rory Marshall Hartley 000000146 N 1 0000752798 PROEQUITIES, INC. ProEquities, Inc. 12-10-2004 N 867-00264-00 LOCATED 12-10-2004 2801 HIGHWAY 280 SOUTH BIRMINGHAM AL 35223 12-2004 ProEquities, Inc. Birmingham AL 35223 Y Y Director of Protective Securities 04-2001 12-2004 Sterne Agee & Leach Birmingham AL 35223 Y Y Investment Consultant Y 04-2010 Diocese of North Alabama 4th Avenue North Birmingham AL 35205 N Y Church/Priest pension board Board member 1 QUARTERLY REVIEW OF INVESTMENTS MADE IN THE PRIEST PENSION FUND 10-2005 Soho Sweets Oxmoor Road Homewood AL 35209 N N local candy shop spouse is owner 1 occasionally assist in local candy shop 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 10-09-2014 Suzette Foster Chief Compliance Officer