Client Protection

For the protection of clients, our custodian, Southwest Securities, Inc. has more than $4.19 billion in assets and $112.9 million in net capital (as of fiscal 2009). All accounts are covered under the Securities Investors Protection Corporation (SIPC) up to $500,000.00 (including up to $100,000 in cash). Our clearing firm, Southwest Securities, has purchased additional security protection to cover the net equity of customers’ accounts up to an aggregate of $100 million. 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.

First Financial Equity Corporation was founded as an Arizona corporation in 1985. The company is a fully disclosed broker/dealer with transactions clearing through Southwest Securities, a subsidiary of SWS Group, Inc., in Dallas, Texas, which is listed on the NYSE (SWS).

For further information, please contact us at: (480) 951-0079, (800) 687-3800.

*A $35 fee may be charged for inactive accounts. Please see Schedule A of the Customer Information Brochure for details or ask your broker.