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Detailed Report
STEVEN A SCHULMAN
CRD#: 4496629
IA
Investment Adviser
B
Broker
MONEY CONCEPTS ADVISORY SERVICECRD#: 12963 Surprise, AZ
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2004 (2 years)2 FIRMS2004 - 2007 (2 years)2 FIRMS2007 - 2008 (1 year)2 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - 2018 (8 years)2 FIRMS2018 - Present (6 years)
License(s)

State Registrations

B
Arizona 5/3/2018
B
Texas 5/3/2018
IA
Arizona 5/3/2018
B
Washington 5/3/2018
B
California 3/18/2024
B
Wisconsin 5/3/2018
B
Connecticut 5/3/2018

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)
Surprise, AZ
Registered with this firm since 5/3/2018
B
MONEY CONCEPTS CAPITAL CORP (CRD#:12963)
Surprise, AZ
Registered with this firm since 5/3/2018
Previous Registration(s)
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IA
 10/05/2009 - 05/07/2018 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) SCOTTSDALE, AZ
B
 10/05/2009 - 05/07/2018 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) SCOTTSDALE, AZ
IA
 11/17/2008 - 10/05/2009 AMERIPRISE ADVISOR SERVICES, INC. (CRD#:5979) BELLEVUE, WA
B
 11/07/2008 - 10/05/2009 AMERIPRISE ADVISOR SERVICES, INC. (CRD#:5979) BELLEVUE, WA
IA
 04/02/2007 - 11/10/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) BELLEVUE, WA
B
 04/02/2007 - 11/10/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) BELLEVUE, WA
IA
 08/13/2004 - 04/02/2007 MORGAN STANLEY (CRD#:7556) BELLEVUE, WA
B
 08/13/2004 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) BELLEVUE, WA
IA
 09/12/2002 - 08/19/2004 A. G. EDWARDS & SONS, INC. (CRD#:4) KIRKLAND, WA
B
 03/19/2002 - 08/19/2004 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
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.