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Detailed Report
Registration History
19952000200520102015202020252 FIRMS2006 - 2015 (9 years)IAMONEY CONCEPTS ADVISORY SERVICE (CRD# 12963)2020 - Present (5 years)BMONEY CONCEPTS CAPITAL CORP (CRD# 12963)2015 - Present (9 years)BMORGAN STANLEY DW INC. (CRD# 7556)2004 - 2006 (1 year)IAMONEY CONCEPTS ADVISORY SERVICE (CRD# 12963)2015 - 2019 (4 years)IAMORGAN STANLEY (CRD# 7556)2005 - 2006 (<1 year)
Disclosure(s)
View By:
12/20/1991
Criminal
Final Disposition
License(s)

State Registrations

B
Florida 11/17/2015
B
Ohio 11/17/2015
B
Georgia 11/19/2015
B
Pennsylvania 11/17/2015
B
Massachusetts 11/23/2015
IA
Pennsylvania 1/14/2020
B
Mississippi 6/13/2018
B
South Carolina 11/17/2015
B
Missouri 2/11/2021
B
Tennessee 2/16/2018
B
New Jersey 11/23/2015
B
Texas 11/17/2015
B
New York 11/17/2015
B
Virginia 11/17/2015
B
North Carolina 11/17/2015

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)
Lebanon, PA
Registered with this firm since 1/14/2020
B
MONEY CONCEPTS CAPITAL CORP (CRD#:12963)
Lebanon, PA
Registered with this firm since 11/17/2015
Previous Registration(s)
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IA
 11/17/2015 - 12/31/2019 MONEY CONCEPTS ADVISORY SERVICE (CRD#:12963) Huntersville, NC
IA
 08/25/2006 - 11/17/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HUNTERSVILLE, NC
B
 08/24/2006 - 11/17/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HUNTERSVILLE, NC
IA
 09/20/2005 - 06/02/2006 MORGAN STANLEY (CRD#:7556) JERICHO, NY
B
 07/14/2004 - 06/02/2006 MORGAN STANLEY DW INC. (CRD#:7556) JERICHO, 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.