Articles Tagged with First Financial Equity Corporation

Jeffrey Sigman

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Publicly records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2018 indicate that former Colorado-based First Financial Equity Corporation broker/adviser Jeffrey Sigman, who has been named in a pending FINRA investigation, was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sigman (CRD# 1418621).

Jeffrey Sigman has spent 31 years in the securities industry and was most recently registered with First Financial Equity Corporation in Greenwood Village, Colorado (2017-2018). Previous registrations include Neidiger Tucker Bruner in Englewood, Colorado (2001-2016); Owen-Joseph Securities in San Diego, California (1996-2001); Painewebber in Weehawken, New Jersey (1991-1996); Prudential Securities in New York, New York (1988-1991); and EF Hutton & Company (1985-1988). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 13, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 4, 1985; Series 15 (Foreign Currency Options Examination), which he obtained on February 22, 1990; Series 3 (National Commodity Futures Examination), which he obtained on July 2, 1986; Series 7 (General Securities Representative Examination), which he obtained on October 19, 1985; Series 4 (Registered Options Principal Examination), which he obtained on February 16, 2010; and Series 24 (General Securities Principal Examination), which he obtained on April 28, 1998. He is currently not registered with any state or firm.

Zachary BrodtPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 6, 2018 indicate that Arizona-based First Financial Equity Corporation broker/adviser Zachary Brodt has been named in a pending FINRA investigation. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Brodt (CRD# 5228473).

Zachary Brodt has spent eleven years in the securities industry and has been registered First Financial Equity Corporation in Scottsdale, Arizona since 2016. Previous registrations include Raymond James & Associates in Scottsdale, Arizona (2014-2016); Accelerated Capital Group in Scottsdale, Arizona (2012-2014); Meridian United Capital in Scottsdale, Arizona (2008-2012); and GF Investment Services in Scottsdale, Arizona (2007-2008). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 11, 2007; Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 25, 2006; and Series 7 (General Securities Representative Examination), which he obtained on January 26, 2007. He is a registered broker and investment adviser with six US states: Arizona, California, Georgia, Nevada, New York, and Texas.

According to his BrokerCheck report, Zachary Brodt has been named in a pending FINRA investigation.

Kristopher Smith

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 19, 2017 indicate that North Dakota-based First Financial Equity Corporation broker/adviser Kristopher Smith has been sanctioned by FINRA and named in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Smith (CRD# 4199159).

Kristopher Smith has spent 15 years in the securities industry and has been registered with First Financial Equity Corporation in Fargo, North Dakota since 2016. Previous registrations include UBS Financial Services in Fargo, North Dakota and Piper Jaffray & Company in Fargo, North Dakota. He has passed two securities industry examinations; Series 66 (Uniform Combined State Law Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 11 US states and territories: Arizona, California, Georgia, Minnesota, Montana, Nebraska, New Mexico, North Dakota, South Dakota, Washington and Wisconsin.

According to his BrokerCheck report, he has received one FINRA sanction and one pending customer complaint, and was terminated from a former employer in connection to alleged rule violations.