Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
SCOT ALAN SHIER
CRD#: 2462276
IA
Investment Adviser
B
Broker
MONEY CONCEPTS ADVISORY SERVICECRD#: 12963 2372 SE Bristol St, Suite C
Newport Beach, CA 92660
Registration History
19952000200520102015202020252 FIRMS1999 - 1999 (<1 year)2 FIRMS2006 - 2019 (13 years)2 FIRMS2019 - Present (5 years)BASSOCIATED SECURITIES CORP. (CRD# 12969)1999 - 2006 (6 years)BLINSCO/PRIVATE LEDGER CORP. (CRD# 6413)1997 - 1999 (1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1994 - 1997 (3 years)IAASSOCIATED PLANNERS INVESTMENT... (CRD# 104790)2000 - 2006 (6 years)
License(s)

State Registrations

B
Arizona 4/5/2019
B
Minnesota 8/4/2020
B
California 4/5/2019
B
Ohio 3/23/2020
IA
California 4/8/2019
B
Oregon 4/5/2019
B
Colorado 12/1/2020
B
South Carolina 4/5/2019
IA
Colorado 12/1/2020
B
Texas 4/5/2019
B
Florida 8/19/2021
B
Washington 4/5/2019
B
Indiana 12/26/2024
B
Wyoming 11/16/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MONEY CONCEPTS ADVISORY SERVICE (CRD#:12963)
2372 SE Bristol St, Suite C, Newport Beach, CA 92660
Registered with this firm since 4/8/2019
B
MONEY CONCEPTS CAPITAL CORP (CRD#:12963)
2372 SE Bristol St, Suite C, Newport Beach, CA 92660
Registered with this firm since 4/5/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/04/2006 - 04/08/2019 NEXT FINANCIAL GROUP, INC. (CRD#:46214) Newport Beach, CA
B
 04/04/2006 - 04/08/2019 NEXT FINANCIAL GROUP, INC. (CRD#:46214) Newport Beach, CA
IA
 03/28/2000 - 04/03/2006 ASSOCIATED PLANNERS INVESTMENT ADVISORY INC (CRD#:104790) LOS ANGELES, CA
B
 11/10/1999 - 04/03/2006 ASSOCIATED SECURITIES CORP. (CRD#:12969) MISSION VIEJO, CA
B
 04/15/1999 - 11/12/1999 EISNER SECURITIES, INC. (CRD#:40585) ST. LOUIS, MO
B
 03/18/1999 - 11/11/1999 SYNDICATED CAPITAL, INC. (CRD#:29037) DIAMOND BAR, CA
B
 07/07/1997 - 06/16/1999 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) FORT MILL, SC
B
 03/28/1994 - 06/03/1997 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.