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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

AuthorityCategoryStatusDate
AZ RA APPROVED 2018-05-11
  • AZ RA
    APPROVED
    Since 2018-05-11

Branch Locations

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

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

6025 S. Holly Drive, Tucson, AZ 85706 • United States

Disclosures

2 disclosure categories 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Mutual Securities, Inc Camarillo CA 12/2013 08/2017
Nova Financial Llc Tucson AZ 01/2014 03/2018
Money Concepts Capital Corp. Palm Beach Gardens FL 05/2018 Present
  • 12/2013 → 08/2017
    Mutual Securities, Inc
    Camarillo, CA
  • 01/2014 → 03/2018
    Nova Financial Llc
    Tucson, AZ
  • 05/2018 → Present
    Palm Beach Gardens, FL
Previous Registrations
  • 2014-01-21 → 2018-03-21
    Tucson, AZ
  • 2012-02-07 → 2013-12-17
    New England Securities
    Tucson, AZ
  • 2008-10-09 → 2012-01-06
    Glendale, AZ
    Tempe, AZ
    Tucson, AZ
    Tucson, AZ
  • 2007-01-09 → 2008-09-26
    Chase Investment Services Corp.
    Tucson, AZ
Other Businesses

1. AZ COLLEGE PLANNING SPECIALISTS, SOLE PROPRIETORSHIP, START:12/2016 12927 N Carlsbad Place TUCSON AZ 85755, COLLEGE PLANNING SERVICES/OWNER, NOT INVESTMENT RELATED, 10 TOTAL HOURS PER MONTH, 10 HOURS DURING NON-SECURITIES TRADING HOURS. 2. Financial Change Nonprofit, Charity, Officer. Non-investment related, 1-10% time spent on activity during securities hrs.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-12-21
S63 Uniform Securities Agent State Law Examination 2000-04-08
  • S66 Uniform Combined State Law Examination
    2006-12-21
  • S63 Uniform Securities Agent State Law Examination
    2000-04-08
Other Names
  • Marcos A Madril
  • Marcos Madril

View on SEC IAPD

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