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
DANIEL RALPH SPOSITO
CRD#: 2692279
IA
Investment Adviser
B
Broker
MONEY CONCEPTS ADVISORY SERVICECRD#: 12963 2049 Lake Avenue
Ashtabula, OH 44004
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2020 - Present (5 years)BNATIONWIDE SECURITIES, LLC (CRD# 11173)1998 - 2019 (21 years)
License(s)

State Registrations

B
Florida 1/2/2020
IA
Ohio 1/3/2020
B
Ohio 1/2/2020

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)
2049 Lake Avenue, Ashtabula, OH 44004
Registered with this firm since 1/3/2020
B
MONEY CONCEPTS CAPITAL CORP (CRD#:12963)
2049 Lake Avenue, Ashtabula, OH 44004
Registered with this firm since 1/2/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 11/20/1998 - 12/31/2019 NATIONWIDE SECURITIES, LLC (CRD#:11173) ASHTABULA, OH
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.