Roger J. Lovretich
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.
Roger James Lovretich was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1982. Roger had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2015 - August 11, 2015
MONEY CONCEPTS CAPITAL CORP
May 18, 2007 - January 7, 2015
AUGUSTAR DISTRIBUTORS, INC.
March 23, 2007 - May 3, 2007
CAPITAL BROKERAGE CORPORATION
March 6, 2007 - March 21, 2007
CETERA INVESTMENT SERVICES LLC
January 19, 2007 - March 21, 2007
CETERA INVESTMENT SERVICES LLC
April 21, 2005 - August 15, 2006
ALLIANZ LIFE FINANCIAL SERVICES, LLC
February 12, 2004 - March 7, 2005
WELLS FARGO INVESTMENTS, LLC
September 17, 2003 - December 16, 2003
WELLS FARGO INVESTMENTS, LLC
December 11, 2002 - March 7, 2005
WELLS FARGO INVESTMENTS, LLC
September 27, 2002 - December 10, 2002
NCF FINANCIAL SERVICES, INC.
September 4, 2001 - April 19, 2002
METLIFE INVESTORS DISTRIBUTION COMPANY
January 18, 2000 - August 24, 2000
COREBRIDGE CAPITAL SERVICES, INC.
September 17, 1998 - July 7, 1999
IDS LIFE INSURANCE COMPANY
September 17, 1998 - July 7, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
April 24, 1996 - January 17, 1997
SECURITY DISTRIBUTORS
September 10, 1993 - May 3, 1994
U.S. BANCORP INVESTMENTS, INC.
June 21, 1982 - November 21, 1986
WOODBURY FINANCIAL SERVICES, INC.
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.
