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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
OH RA APPROVED 2002-01-02
  • OH RA
    APPROVED
    Since 2002-01-02

Branch Locations

2930 Glendale-Milford Road Ste. 320, Cincinnati, OH 45241 • United States

5643 Cheviot Road Ste. #1, Cincinnati, OH 45247 • United States

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

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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Money Concepts Capital Corp Bellefontaine OH 03/1999 Present
Other Businesses

1. Administrative Duties for another Money Concepts Representative, since 05/01/1999, Employee, Office duties, Non-investment related, 1-10% time spent on this activity. 26 total hrs per month during securities trading hrs.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-08-13
  • S66 Uniform Combined State Law Examination
    1999-08-13

View on SEC IAPD

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