MONEY CONCEPTS CAPITAL CORP of PALM BEACH GARDENS, FL is an SEC-registered investment adviser (CRD 12963). Regulatory assets under management: $4.1B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Other.
| Name | Role | Location |
|---|---|---|
| Monteiro John | SENIOR VICE PRESIDENT/CHIEF OPERATIONS OFFICER; SR VICE PRESIDENT / CHIEF OPERATIONS OFFICER; VICE PRESIDENT, CHIEF FINANCIAL OFFICER (+1 more) | Frisco, TX |
| Denis Stephen Walsh | PRESIDENT | CHIEF EXECUTIVE OFFICER | — |
| Mary Therese Walsh | SR VICE PRESIDENT | CHIEF COMPLIANCE OFFICER | — |
| Cheryl Morris Barnett | VICE PRESIDENT | COMPLIANCE OFFICER | — |
| Liza Maria Perlow | VICE PRESIDENT | COMPLIANCE OFFICER | — |
| Barry Richard Rittman | VICE PRESIDENT | CHIEF FINANCIAL OFFICER | — |
| James Edward Walsh | VICE PRESIDENT | ADVERTISING AND COMMUNICATIONS | — |
| Robert E Mullis | VICE PRESIDENT | ACCOUNT SERVICES | — |
| WALSH STEPHEN | PRESIDENT | CHIEF EXECUTIVE OFFICER; PRESIDENT, SECRETARY, TREASURER, CHIEF EXECUTIVE OFFICER | — |
| WALSH WILLIAM EDWARD | GENERAL SECURITIES PRINCIPAL | OPTION PRINCIPAL; GENERAL SECURITIES PRINCIPAL/ OPTION PRINCIPAL; VICE PRESIDENT | ADVERTISING AND COMMUNICATIONS | — |
| WALSH JOHN PATRICK | CHAIRMAN; SHAREHOLDER | — |
| WALSH MARY THERESE | OPTIONS PRINCIPAL | SR VICE PRESIDENT | CHIEF COMPLIANCE OFFICER; SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER; SROP, CROP (+3 more) | — |
| BARNETT CHERYL MORRIS | ASSISTANT VICE PRESIDENT | COMPLIANCE OFFICER; GENERAL SECURITIES PRINCIPAL; VICE PRESIDENT | COMPLIANCE OFFICER | — |
| DAYLEY BARRY LYLE | EXECUTIVE VICE PRESIDENT; EXECUTIVE VICE PRESIDENT OF FINANCIAL INSTITUTIONS; EXECUTIVE VICE PRESIDENT, PRINCIPAL (+1 more) | — |
| MATOS LIZA MARIA | GENERAL SECURITIES PRINCIPAL | — |
| RITTMAN BARRY RICHARD | CHIEF FINANCIAL OFFICER/CONTROLLER; FINANCIAL OPERTATIONS PRINCIPAL/CONTROLLER; SR VICE PRESIDENT | CHIEF FINANCIAL OFFICER (+2 more) | — |
| PORTER WILLIAM ALLEN | VICE PRESIDENT | MARKETING AND BUSINESS DEVELOPMENT | — |
| PERLOW LIZA MARIA | ASSISTANT TO EXECUTIVE REPRESENTATIVE, PRINCIPAL; ASSISTANT VICE PRESIDENT / COMPLIANCE OFFICER; ASSISTANT VICE PRESIDENT, PRINCIPAL (+1 more) | — |
| YOUNG ROBERT TERRY | VICE PRESIDENT | — |
| MURPHY JOCELYNE PAQUERETTE | GENERAL SECURITIES PRINCIPAL | — |
| STANFORD LISA M | GENERAL SECURITIES PRINCIPAL | — |
| THERRIEN AMANDA J | VICE PRESIDENT | ACCOUNT SERVICES | — |
| PARKER KENNY RAY | SENIOR VICE PRESIDENT OF FINANCIAL INSTITUTIONS | — |
| MULLIS ROBERT E | VICE PRESIDENT | ACCOUNT SERVICES; VICE PRESIDENT | OPERATIONS | — |
| Liza Maria Matos | VICE PRESIDENT | COMPLIANCE OFFICER | — |
Showing 10 of 24 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-07-27 | regulatory | REIT'S SOLD IN AMOUNTS GREATER THAN 10 PERCENT OF CLIENTS LNW, VIOLATING PROSPECTUS GUIDELINES. | Final | — |
| 2010-10-05 | civil | NEGLIGENCE, FRAUD, ILLEGALITY, FRAUDULENT INDUCEMENT, NEGLIGENT MISREPRESENTATION, UNSUITABILITY AND BREACH OF CONTRACT. | Pending | — |
| 2010-06-07 | civil | PLAINTIFF IS ALLEGING NEGLIGENT MISREPRESENTATION, COMMON LAW FRAUD, CIVIL CONSPIRACY AND BREACH OF FIDUCIARY DUTY. | Pending | — |
| 2008-06-06 | regulatory | NON-COMPLIANCE WITH HEIGHTENED SUPERVISION OF INDIVIDUAL REGISTERED IN THE STATE OF KENTUCKY. | Final | — |
| 2007-12-04 | regulatory | MONEY CONCEPTS CAPITAL COPR. FALIED TO TIMELY REPOT FIVE CUSTOMER-RELATED MATTERS DISCLOSABLE UNDER NASD CONDUCT RULE 3070 AND FAILED TO TIMELY AMEND FORMS U-4 FOR SIX REGISTERED REPRESENTATIVES TO REPORT SIX DISCLOSABLE CUSTOMER MATTERS AND ONE FORM U-5 TO REPORT A DISCLOSABLE CUSTOMER-RELATED MATT… | Final | $14K |
| 2007-01-24 | regulatory | FAILED TO COMPLY WITH NH REQUIREMENT FOR A DESIGNATED PRINCIPAL. | Final | — |
| 2006-08-02 | regulatory | UNLICENSED INVESTMENT REPRESENTATIVE | Final | $8K |
| 2002-04-04 | civil | CLAIMANT ALLEGE THAT REPRESENTATIVE, SHELLY SMITH, MADE CERTAIN NEGLIGENT MISREPRESENTATION INDUCING CLAIMANT TO PURCHASE UNSUITABLE STOCKS AND MUTUAL FUNDS. CLAIMANT IS ALLEGING THAT MONEY CONCEPTS CAPITAL CORP. HAS BREACHED ITS FIDUCIARY DUTIES. | Pending | — |
| 2000-08-31 | civil | CLIENT OF BANKRUPT THIRD PARTY INVESTMENT ADVISER ALLEGES NEGLIGENCE OR BREACH OF DUTY BY APPLICANT IN CONNECTION WITH ALLEGED MISAPPROPRIATION OF ASSETS BY A DECEASED PRINCIPAL OF THE THIRD PARTY ADVISER. CLAIMANT SEEK RECOEVERY OF ALLEGED DAMAGES FO $78,000 JOINTLY AND SEVERALLY FROM SEVERAL PARTI… | Final | — |
| 2000-08-01 | civil | CLIENT OF BANKRUPT THIRD PARTY INVESTMENT ADVISER ALLEGES NEGLIGENCE OR BREACH OF DUTY BY APPLICANT IN CONNECTION WITH ALLEGED MISAPPROPRIATION OF ASSETS BY A DECEASED PRINCIPAL OF THE THIRD PARTY ADVISER. CLAIMANT SEEK RECOVERY OF ALLEGED DAMAGES OF $72,000 JOINTLY AND SEVERALLY FROM SEVERAL PARTIE… | Final | — |
Showing 15 of 25 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| LOUISVILLE | KY | 14 | 502-429-0196 |
| LIBERTYVILLE | IL | 8 | 847-680-9050 |
| SAINT PETERS | MO | 7 | 636-925-3000 |
| MARIETTA | GA | 6 | 770-578-3555 |
| ORANGEBURG | NY | 5 | (845) 398-0097 |
| BREA | CA | 5 | (714) 870-4542 |
| INDIANAPOLIS | IN | 4 | (317) 841-0370 |
| BELLEFONTAINE | OH | 4 | 937-592-0200 |
| CONWAY | AR | 4 | (501) 730-0303 |
| WASHINGTON | MO | 4 | (636) 239-9087 |
| SIDNEY | OH | 3 | (937) 518-1776 |
| SARASOTA | FL | 3 | (636) 949-9821 |
| PLACENTIA | CA | 3 | (714) 253-4331 |
| TROY | MI | 3 | (248) 269-9700 |
| FORT WORTH | TX | 3 | (817) 616-2300 |