Cindy A. Fields
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.
Cindy Ann Fields, CFP® was a registered financial professional .
Cindy is a previously registered financial professional and started their career in finance in 1982. Cindy had worked at 14 firms and has passed the Series 66, Series 63, Series 7TO, 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
August 1, 2016 - August 31, 2021
MONEY CONCEPTS CAPITAL CORP
July 29, 2016 - August 31, 2021
MONEY CONCEPTS CAPITAL CORP
August 12, 2015 - March 10, 2016
BELPOINTE ASSET MANAGEMENT LLC
January 13, 2012 - August 10, 2015
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 30, 2010 - August 4, 2010
NATIONAL SECURITIES CORPORATION
September 18, 2008 - December 1, 2011
B. RILEY WEALTH ADVISORS, INC.
June 19, 2007 - April 7, 2008
CAMBRIDGE INVESTMENT RESEARCH, INC.
October 8, 2002 - August 31, 2005
MML INVESTORS SERVICES, LLC
March 27, 2002 - October 28, 2002
NATHAN & LEWIS SECURITIES, INC.
October 22, 1996 - April 1, 2002
MML INVESTORS SERVICES, LLC
December 22, 1992 - October 26, 1994
NATHAN & LEWIS SECURITIES, INC.
May 8, 1992 - December 31, 1992
GUARDIAN INVESTOR SERVICES LLC
October 9, 1991 - April 30, 1992
WALNUT STREET SECURITIES, INC.
November 29, 1990 - January 14, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 29, 1990 - January 14, 1991
EQUITABLE ADVISORS, LLC
August 10, 1984 - October 14, 1986
WAGNER, STOTT & CO.
November 10, 1983 - September 12, 1984
ABELOW IHASZ & CO.
February 22, 1982 - October 7, 1983
PERSHING LLC
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
Series 7TO
Date: 10/2/2022
General Securities Representative ExaminationCurrent 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.
