JD
Joe C. Doggett
MONEY CONCEPTS CAPITAL CORP
Columbus, IN 47201
Some features on this profile are disabled
CRD#: 1033987
JD
Professional summary
Joe Carroll Doggett is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in Columbus, Indiana.
Joe is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Joe has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
1. JOE C. DOGGETT & COMPANY, INC. POSITION: PRESIDENT NATURE: HEALTH INSURANCE SALES INVESTMENT RELATED: YES NUMBER OF HOURS: 80 INVESTMENT RELATED HOURS: 20 START DATE: 01/01/1983 ADDRESS: 1503 WASHINGTON STREET, SUITE B COLUMBUS, IN 47201 DESCRIPTION: SOLICIT BUSINESSES FOR??,INSURANCE PRODUCTS.
CRS (Client Relationship Summary) - RIA
Click below to view Joe Carroll Doggett's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joe Carroll Doggett'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®
NoneExperience
Current
August 4, 2022 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 3550 West Two Mile Road Suite A, Columbus, IN 47201Office #2: 11440 Jog Road, Palm Beach Gardens, FL 33418RIA
BD
CRD#: 12963
Columbus, IN
Current
July 21, 2022 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 3550 West Two Mile Road Suite A, Columbus, IN 47201Office #2: 11440 Jog Road, Palm Beach Gardens, FL 33418RIA
BD
CRD#: 12963
Columbus, IN
Past
November 10, 2010 - July 20, 2022
JCD INVESTMENTS, LLC
RIA
CRD#: 111620
COLUMBUS, IN
Past
August 27, 2010 - July 25, 2022
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
COLUMBUS, IN
Past
January 6, 2006 - December 31, 2008
JCD INVESTMENTS, LLC
RIA
CRD#: 111620
COLUMBUS, IN
Past
July 8, 2004 - December 31, 2004
JCD INVESTMENTS, LLC
RIA
CRD#: 111620
COLUMBUS, IN
Past
July 3, 2003 - September 17, 2010
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
COLUMBUS, IN
Past
June 8, 2000 - July 16, 2003
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
COLUMBUS, IN
Past
April 17, 1995 - December 31, 2003
JCD INVESTMENTS, LLC
RIA
CRD#: 111620
COLUMBUS, IN
Past
May 25, 1982 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
May 25, 1982 - July 16, 2003
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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
Florida(11/1/2022)
RR
Illinois(10/9/2024)
RR
Indiana(8/5/2022)
IAR
Indiana(8/5/2022)
RR
Kentucky(7/25/2022)
IAR
Kentucky(8/4/2022)
RR
Louisiana(8/8/2022)
RR
Maryland(10/19/2022)
RR
Michigan(10/10/2024)
RR
Ohio(1/31/2025)
RR
South Carolina(7/8/2025)
RR
Virginia(8/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963Columbus, IN 47201TRUST BUT VERIFY
Monitor Joe Doggett
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
