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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
FL RA APPROVED 1995-10-13
  • FL RA
    APPROVED
    Since 1995-10-13

Branch Locations

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

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

5619 Harney Rd, Tampa, FL 33610 • United States

3710 North 50Th, Tampa, FL 33619 • 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
OrganizationCityStateFromTo
Money Concepts Capital Corp Palm Harbor FL 08/1995 Present
Other Businesses

1.LIC REALTOR SOLE PROPRIETORSHIP, AGENT OR REPRESENTATIVE, REAL ESTATE SALES,4 HR. MO., DURING SECURITIES TRADING. 2. REAL ESTATE, P.O. BOX 1957, PALM HARBOR, FL 34682, SOLE PROPRIETORSHIP, REAL ESTATE SALES, NON INVESTMENT-RELATED BUSINESS, AGENT OR REPRESENTATIVE, SELL REAL ESTATE, 4 HRS. MO. CONDUCTING THIS ACTIVITY. 3. Consolidated investments unlimited Inc., Business Manager, Owner, Non-investment related, 1-20% time spent on activity during non-securities hrs. 4. Acme Auto Restorations, 18002 Richmond Pl. Tampa, Fl 33647. Auto Restoration, Owner , Non-investment related, 1-20% time spent on activity during non-securities hrs.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-12-27
S63 Uniform Securities Agent State Law Examination 1995-10-03
  • S65 Uniform Investment Adviser Law Examination
    1997-12-27
  • S63 Uniform Securities Agent State Law Examination
    1995-10-03

View on SEC IAPD

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