Ernest H. Wiedemann
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ernest Henry Wiedemann, who also goes by Ernie Wiedemann, was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 1982. Ernest had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2002 - September 6, 2016
MONEY CONCEPTS CAPITAL CORP
August 6, 2002 - September 6, 2016
MONEY CONCEPTS CAPITAL CORP
March 26, 1990 - August 10, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 26, 1990 - August 10, 2002
OSAIC FA, INC.
March 14, 1990 - April 5, 1990
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 14, 1990 - April 5, 1990
OSAIC FA, INC.
February 1, 1989 - March 17, 1990
AMERICAN CAPITAL EQUITIES, INC.
March 27, 1987 - February 22, 1989
FSC SECURITIES CORPORATION
April 11, 1985 - April 7, 1987
GREEN HILL FINANCIAL SERVICE CORPORATION
January 28, 1985 - April 10, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 3, 1982 - February 6, 1985
CADARET, GRANT & CO., INC.
March 25, 1982 - December 8, 1982
INDEPENDENT FINANCIAL PLANNERS CORPORATION
Primary Firm SEC Registration
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
Contact information
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.
