Frequently Asked Questions

Who is First Financial Equity Corporation (FFEC)?

First Financial Equity Corporation is a fully registered broker/dealer with transactions clearing through Hilltop Holdings, Inc.. The company was formed as an Arizona corporation in 1985, and its home office is located in Scottsdale, AZ.

Are my accounts insured at FFEC?

Yes, all accounts are covered under the Securities Investors Protection Corporation (SIPC) up to $500,000.00 (including up to $100,000 in cash). For the protection of clients, our clearing firm, Hilltop Holdings, Inc. which is listed on the NYSE (HTH), has purchased additional security protection to cover the net equity of customers’ accounts up to an aggregate of $100 million from underwriting syndicates at Lloyds of London. This coverage does not protect against fluctuations in the market value of securities, including loss of principal on any investment or cash. The policy covers only customers’ claims for loss of securities that would have been recoverable except for SIPC’s limits. The policy is renewable annually on March 30th. (updated 3/9/15)

Can I receive my trade confirmations by fax or email?

Yes, FFEC offers its clients the ability to receive their individual trade confirmations by regular mail, fax, or email. Contact a broker for more information or download the form on Open an Account and send the signed original to the office.

How does the Direct Deposit work at FFEC?

Direct Deposit is an automatic way you can deposit or withdraw funds from your securities account. As the name implies you will be able to save time and money because your funds spend more time working for you, rather than in transit. Contact a broker for more information or download the form on Open an Account and send the signed original to the office.

Where are your offices located?

Headquarters - 7373 N. Scottsdale Rd. #D120, Scottsdale, AZ 85253.

Dallas Office - Occidental Tower, 5005 LBJ Freeway, Suite 1410, Dallas, TX 75244

Denver Tech Office - Terrace Tower, 5619 DTC Parkway, Suite 575, Greenwood Village, CO 80111

Downtown Denver Office - 1999 Broadway, Suite 550, Denver, CO 80202

Billings Office - Transwestern Plaza II, 490 North 31st Street, Suite 301, Billings, MT 59101

Surprise Office - Crossroads Office Plaza, 12515 W. Bell Rd., Suite 108, Surprise AZ 85378

San Diego Office - 5230 Carroll Canyon Road, Suite 214, San Diego, CA 92121

Tucson Office - 4560 E. Broadway Blvd., Suite 233, Tucson, AZ 85711

Can I receive a checkbook for my account?

Yes, please ask your broker for the form that will allow you to receive a checkbook to draw on your account.

What is the minimum amount of money to open an account?

First Financial Equity Corporation does not have any minimum deposit. However, in order to open a margin and/or trading account, the minimum balance is $2,000.

What is my account balance?

Go to the MyAccount section of the web site to see a current depiction of your account.

I have a stock certificate, how do I sell it?

The signed certificate may be brought in to the office and then sold. If it is mailed in, for security reasons, please ask a broker for a stock power to mail a stock power for signature and return in separate mail.

How can I learn about the stock market?

Please see our sections under Books to Read, and Educational Links.

How do I transfer an account to First Financial Equity Corporation to begin taking advantage of flat fee trading?

We are happy to help with the transition from another brokerage firm. Please ask a broker for a transfer form, and one will be sent directly.

What books do you recommend?