Kevin T. Startt
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.
Kevin Todd Startt was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1983. Kevin had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2016 - October 31, 2016
MONEY CONCEPTS CAPITAL CORP
June 21, 2016 - October 31, 2016
MONEY CONCEPTS CAPITAL CORP
November 4, 2013 - January 20, 2016
TRIUMPH WEALTH ADVISORS, INC.
August 15, 2013 - January 20, 2016
TAYLOR CAPITAL MANAGEMENT INC.
June 18, 2013 - August 13, 2013
ALLSTATE FINANCIAL SERVICES, LLC
June 17, 2013 - August 13, 2013
ALLSTATE FINANCIAL ADVISORS, LLC
August 22, 2007 - May 14, 2012
QUESTAR ASSET MANAGEMENT, INC.
April 11, 2007 - May 14, 2012
QUESTAR CAPITAL CORPORATION
December 20, 1999 - April 18, 2005
AMERITAS INVESTMENT COMPANY, LLC
August 19, 1999 - October 8, 1999
SENTINEL FINANCIAL SERVICES COMPANY
April 8, 1998 - June 8, 1999
DEUTSCHE BANK SECURITIES INC.
October 2, 1996 - May 27, 1998
PERSHING LLC
September 16, 1994 - January 4, 1995
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.
March 24, 1993 - September 16, 1994
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
March 17, 1993 - June 1, 1993
TEMPLETON FUNDS DISTRIBUTOR, INC.
July 1, 1986 - December 2, 1991
NYLIFE SECURITIES LLC
September 12, 1984 - May 13, 1986
NUVEEN SECURITIES, LLC
September 27, 1983 - August 28, 1984
E. F. HUTTON & COMPANY 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.
