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Investment Adviser Firm Summary

FIRST FINANCIAL EQUITY CORPORATION (CRD# 16507 / SEC# 8-34082, 801-63970)
Alternate Names: FIRST FINANCIAL EQUITY CORPORATION

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/18/2005
California Terminated 02/25/2005
Oklahoma Terminated 10/15/2002
Texas Cancelled 02/10/2003
Wisconsin Terminated 02/28/2005

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 06/21/2012
Alaska 10/30/2017
Arizona 02/18/2005
Arkansas 03/02/2007
California 01/24/2002
Colorado 01/13/2006
Connecticut 09/28/2005
Delaware 03/31/2016
District of Columbia 10/30/2017
Florida 09/29/2005
Georgia 09/28/2005
Hawaii 10/30/2017
Idaho 08/11/2010
Illinois 03/02/2007
Indiana 07/14/2011
Iowa 05/24/2012
Kansas 08/16/2007
Kentucky 10/30/2017
Louisiana 10/30/2017
Maine 09/29/2017
Maryland 08/11/2010
Massachusetts 08/20/2012
Michigan 06/08/2011
Minnesota 02/18/2005
Mississippi 10/30/2017
Missouri 02/04/2008
Montana 09/02/2008
Nebraska 01/25/2017
Nevada 05/16/2006
New Hampshire 10/30/2017
New Jersey 09/24/2012
New Mexico 01/13/2006
New York 02/28/2006
North Carolina 02/04/2010
North Dakota 06/02/2016
Ohio 06/08/2011
Oklahoma 06/02/2014
Oregon 08/11/2010
Pennsylvania 07/14/2011
Rhode Island 06/08/2011
South Carolina 07/12/2007
South Dakota 08/20/2012
Tennessee 02/28/2006
Texas 09/28/2005
Utah 01/13/2006
Vermont 10/30/2017
Virginia 10/05/2005
Washington 03/19/2007
West Virginia 10/30/2017
Wisconsin 09/02/2011
Wyoming 08/01/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser