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Detailed Report
Registration History
1995200020052010201520202025IAMONEY CONCEPTS ADVISORY SERVICE (CRD# 12963)2002 - Present (22 years)BMONEY CONCEPTS CAPITAL CORP (CRD# 12963)2001 - Present (23 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)2000 - 2000 (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1999 - 2000 (1 year)BMONEY CONCEPTS CAPITAL CORP (CRD# 12963)1998 - 1999 (<1 year)BEMISSARY FINANCIAL GROUP, INC. (CRD# 44568)1998 - 1998 (<1 year)BMONEY CONCEPTS CAPITAL CORP (CRD# 12963)1995 - 1998 (3 years)
Disclosure(s)
View By:
9/20/2010
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Florida 10/9/2017
B
Tennessee 4/20/2020
B
Nevada 1/11/2022
B
Virginia 4/5/2016
B
North Carolina 11/18/2003
B
West Virginia 8/16/2001
B
Ohio 2/22/2021
IA
West Virginia 8/13/2002
B
South Carolina 5/5/2014

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)
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MONEY CONCEPTS ADVISORY SERVICE (CRD#:12963)
NITRO, WV
Registered with this firm since 8/13/2002
B
MONEY CONCEPTS CAPITAL CORP (CRD#:12963)
NITRO, WV
Registered with this firm since 8/16/2001
Previous Registration(s)
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B
 09/06/2000 - 11/28/2000 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
 04/12/1999 - 09/15/2000 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 05/22/1998 - 02/15/1999 MONEY CONCEPTS CAPITAL CORP (CRD#:12963) PALM BEACH GARDENS, FL
B
 04/07/1998 - 05/29/1998 EMISSARY FINANCIAL GROUP, INC. (CRD#:44568) MENTOR, OH
B
 03/03/1995 - 03/17/1998 MONEY CONCEPTS CAPITAL CORP (CRD#:12963) PALM BEACH GARDENS, FL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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.