0000768965-22-000001.txt : 20220114
0000768965-22-000001.hdr.sgml : 20220114
20220114181040
ACCESSION NUMBER: 0000768965-22-000001
CONFORMED SUBMISSION TYPE: MA-A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211231
FILED AS OF DATE: 20220105
DATE AS OF CHANGE: 20220114
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: 22532990
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 Madsen
480-778-2000
kmadsen@ffec.com
kmadsen@ffec.com
12-31-2021
Y
FIRST FINANCIAL EQUITY CORPORATION
16507
86-0511639
867-01884
008-34082
16507
801-63970
16507
7047 E Greenway Parkway
Suite 350
Scottsdale
AZ
85254
480-951-0079
866-406-7302
NewAdd
14135 Midway Road
Suite G-100
Addison
TX
75001
214-545-3300
214-545-3332
NewAdd
5619 DTC Parkway
Suite 1050
Greenwood Village
CO
80111
303-643-5959
303-643-5969
N
www.ffec.com
Kenneth
Anthony
Madsen
7047 E Greenway Parkway
Suite 350
Scottsdale
AZ
85254
480-951-0079
866-406-7302
kmadsen@ffec.com
December
DE
04-20-1985
N
155
4
4
4
0
26
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 commission
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
4
NewAdd
Investment Adviser
Thomas Dunn
First Financial Equity Corporation
N
N
N
NewAdd
Investment Adviser
Zachary Allen
First Financial Equity Corporation
N
N
N
NewAdd
Investment Adviser
Mark Lindau
First Financial Equity Corporation
N
N
N
NewAdd
Investment Adviser
Alphonsus R Panzera
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
NewAdd
Jeffrey
Scott
Graves
President/CEO
01-01-2017
D
Y
1398578
NewAdd
Randy
Wayne
Sitzman
COO/Secretary-Treasurer
09-01-2017
D
Y
1705671
NewAdd
Kenneth
Anthony
Madsen
Chief Compliance Office
03-16-2020
NA
Y
1126819
NewAdd
Andrew
Lee
Sitzman
CFO
12-15-2019
NA
Y
6877630
9-E2
First Financial Equity Corporation
16507
1478484
Kenneth A Madsen
Kenneth A Masen
Chief Compliance Officer
01-05-2022
1126819
N
N
N
N
N
N
N
Y
N
N
N
N
N
N
Y
N
N
N
N
N