Kevan Lee Gaug

Employer firm

Money Concepts Capital Corp CRD 12963

$4.07B regulatory AUM 1,108 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
GENERAL CONSULTING SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Money Concepts Capital Corp

11440 Jog Road, Palm Beach Gardens, FL 33418 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2006-09-25

TX RA
APPROVED

Since 2006-09-25

Branch Locations

11440 Jog Road, Palm Beach Gardens, FL 33418 • United States

The Woodlands, TX • United States

11440 Jog Road, Palm Beach Gardens, FL 33418 • UNITED STATES

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Money Concepts Capital Corp.	The Woodlands	TX	09/2006	Present

09/2006 → Present

Money Concepts Capital Corp.

The Woodlands, TX

Previous Registrations

2001-11-13 → 2006-09-22

Ameriprise Financial Services, Llc

The Woodlands, TX

The Woodlands, TX

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-11-12

S66 Uniform Combined State Law Examination

2001-11-12

View on SEC IAPD

Employer firm

Current Employers

Money Concepts Capital Corp

Disclosures

Employment History

Previous Registrations

Exams

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