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
JOHN ELLIOTT CARTER
CRD#: 2833057
IA
Investment Adviser
B
Broker
MONEY CONCEPTS ADVISORY SERVICECRD#: 12963 611 N. WYMORE ROAD
SUITES 101 & 96
WINTER PARK, FL 32789
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2002 (2 years)2 FIRMS2002 - 2006 (3 years)2 FIRMS2006 - 2008 (2 years)2 FIRMS2008 - Present (16 years)BWMA SECURITIES, INC. (CRD# 32625)1997 - 2000 (3 years)
Disclosure(s)
View By:
11/30/2016
Judgment / Lien
License(s)

State Registrations

B
Florida 9/3/2008
B
Texas 1/11/2018
IA
Florida 9/10/2008
B
Virginia 1/10/2022
B
Maryland 9/3/2008

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)
611 N. WYMORE ROAD SUITES 101 & 96, WINTER PARK, FL 32789
Registered with this firm since 9/10/2008
B
MONEY CONCEPTS CAPITAL CORP (CRD#:12963)
611 N. WYMORE ROAD SUITES 101 & 96, WINTER PARK, FL 32789
Registered with this firm since 9/3/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/16/2006 - 06/23/2008 GUNNALLEN FINANCIAL, INC (CRD#:17609) ORLANDO, FL
B
 03/13/2006 - 06/23/2008 GUNNALLEN FINANCIAL, INC (CRD#:17609) ORLANDO, FL
IA
 09/10/2002 - 02/22/2006 AXA ADVISORS, LLC (CRD#:6627) ORLANDO, FL
B
 07/29/2002 - 02/22/2006 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
IA
 03/07/2000 - 07/29/2002 MONEY CONCEPTS CAPITAL CORP (CRD#:12963) ORLANDO, FL
B
 02/11/2000 - 07/29/2002 MONEY CONCEPTS CAPITAL CORP (CRD#:12963) PALM BEACH GARDENS, FL
B
 01/02/1997 - 02/07/2000 WMA SECURITIES, INC. (CRD#:32625) DULUTH, GA
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.