Pierre S. Rosa

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CRD#: 1106083

Professional summary

Pierre Samuel Rosa was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Pierre is a previously registered financial advisor and started their career in finance in 1983. Prior to being barred, Pierre had worked at 5 firms, which includes MONEY CONCEPTS CAPITAL CORP, CADARET GRANT & CO. INC., FSC SECURITIES CORPORATION, HERITAGE EQUITY PLANNING CORPORATION, OSAIC FS INC..

Question & Answer

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Aliases

Pete Rosa

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 15, 1998 - June 24, 2005

MONEY CONCEPTS CAPITAL CORP

RIA

CRD#: 12963

SUFFOLK, VA

Past

October 2, 1991 - June 24, 2005

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

PALM BEACH GARDENS, FL

Past

December 5, 1989 - October 1, 1991

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

September 6, 1988 - December 12, 1989

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

February 17, 1987 - September 22, 1988

HERITAGE EQUITY PLANNING CORPORATION

CRD#: 18181

Past

July 26, 1983 - February 26, 1987

OSAIC FS, INC.

CRD#: 3870

Past

April 19, 1983 - July 28, 1983

FSC SECURITIES CORPORATION

CRD#: 7461

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".

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/27/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/22/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/16/1983

General Securities Representative Examination

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MONEY CONCEPTS ADVISORY SERVICE FORM ADV PART 2A (3/20/2025)

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

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Pierre S. Rosa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MONEY CONCEPTS CAPITAL CORP

CADARET, GRANT & CO., INC.

FSC SECURITIES CORPORATION

HERITAGE EQUITY PLANNING CORPORATION

OSAIC FS, INC.

FSC SECURITIES CORPORATION

Primary Firm SEC Registration

MONEY CONCEPTS CAPITAL CORP

State Registrations and Notice Filings

Exams

Series 65

Date: 7/27/1992

Series 63

Date: 3/22/1983

Series 7

Date: 4/16/1983

Current Firm

MONEY CONCEPTS CAPITAL CORP

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MONEY CONCEPTS CAPITAL CORP

TRUST BUT VERIFY

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