MC
Michael W. Carter
MONEY CONCEPTS CAPITAL CORP
Freeland, WA
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CRD#: 1019999
MC
Professional summary
Michael William Carter, CFP® is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in Freeland, Washington.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
CARTER FINANCIAL GROUP, LLC, 4784 N LOMBARD STREET, STE B PMB 176, PORTLAND, OR 97203, OFFICER, OWNER OR SHAREHOLDER, TAX CONTROL, INVESTMENT-RELATED, NONE CONDUCTED DURING SECURITIES TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Michael William Carter's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael William Carter's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1993
Experience
Current
April 21, 1999 - Present
MONEY CONCEPTS CAPITAL CORP
RIA
BD
CRD#: 12963
Freeland, WA
Current
March 14, 1994 - Present
MONEY CONCEPTS CAPITAL CORP
RIA
BD
CRD#: 12963
Freeland, WA
Past
August 10, 1989 - March 8, 1994
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 10, 1989 - March 8, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
December 16, 1987 - July 29, 1989
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
Past
December 16, 1985 - June 8, 1987
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Past
September 11, 1984 - September 25, 1984
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Past
December 22, 1981 - July 9, 1984
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MC
MONEY CONCEPTS CAPITAL CORP
INTERNATIONAL FINANCIAL SERVICES CAPITAL CORPORATION | MONEY CONCEPTS CAPITAL CORP | MONEY CONCEPTS ADVISORY SERVICE
CRD#: 12963 / SEC#: 801-39736, 8-29671
RIA
Registered Investment Advisory firm - SEC (10/7/1991 Approved)Virgin Islands
Registered Investment Advisory firm - SEC (10/28/2020 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(8/26/2014)
RR
Oregon(3/15/1994)
RR
Washington(3/15/1994)
IAR
Washington(2/26/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MC
MONEY CONCEPTS CAPITAL CORP
INTERNATIONAL FINANCIAL SERVICES CAPITAL CORPORATION | MONEY CONCEPTS CAPITAL CORP | MONEY CONCEPTS ADVISORY SERVICE
CRD#: 12963 / SEC#: 801-39736, 8-29671
RIA
Registered Investment Advisory firm - SEC (10/7/1991 Approved)Virgin Islands
Registered Investment Advisory firm - SEC (10/28/2020 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
11440 Jog Road, Palm Beach Gardens, FL 33418
Mailing Address
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764
Phone number
(561) 472-2000
Established
Florida since 06/23/1982
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
431
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONEY CONCEPTS INTERNATIONAL, INC | OWNS 100% OF MONEY CONCEPTS CAPITAL CORP. | |
| BARNETT, CHERYL MORRIS | VICE PRESIDENT | COMPLIANCE OFFICER | 1795785 |
| MATOS, LIZA MARIA | VICE PRESIDENT | COMPLIANCE OFFICER | 4371969 |
| RITTMAN, BARRY RICHARD | VICE PRESIDENT | CHIEF FINANCIAL OFFICER | 1997994 |
| WALSH, DENIS STEPHEN | PRESIDENT | CHIEF EXECUTIVE OFFICER | 1124278 |
| WALSH, JAMES EDWARD | VICE PRESIDENT | ADVERTISING AND COMMUNICATIONS | 2275368 |
| WALSH, MARY THERESE | SR VICE PRESIDENT | CHIEF COMPLIANCE OFFICER | 2829444 |
Regulatory assets under management
| Total Number of Accounts | 14,898 |
| AUM (Assets Under Management) | $ 3,328,625,395 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
