FL
Frank J. Libertino
MONEY CONCEPTS CAPITAL CORP
EL PRADO, NM
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CRD#: 1189498
FL
Professional summary
Frank Joseph Libertino is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in El Prado, New Mexico.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Frank has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 55 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) NAME OF OTHER BUSINESS: FJL MANAGEMENT
INVESTMENT RELATED: NO
ADDRESS: 161 CAMINO OVERJERO RD, EL PRADO, NM, 87529
NATURE OF BUSINESS: PERSONAL MANAGEMENT
START DATE: 4/2017
POSITION/TITLE/RELATIONSHIP: OWNER
APX NUMBER OF HOURS PER WEEK: VARIES
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES
BRIEF DESCRIPTION OF DUTIES: LIFE COACH, HELP PEOPLE WITH THEIR DAY TO DAY LIVES, NO FINANCIAL SERVICES.
(2) NAME OF OTHER BUSINESS: LOMBARDI ANTIQUES
INVESTMENT RELATED: NO
ADDRESS: TAOS PLAZA, TAOS, NM 81571
NATURE OF BUSINESS: ANTIQUE SALES
START DATE: 10/2017
POSITION/TITLE/RELATIONSHIP: CLERK
APX NUMBER OF HOURS PER WEEK: 15
APX NUMBER OF HOURS DURING TRADING HOURS: 15
BRIEF DESCRIPTION OF DUTIES: GENERAL DUTIES
(3) NAME OF OTHER BUSINESS: FJL WEALTH MANAGEMENT
INVESTMENT RELATED: YES
ADDRESS: SAME AS RESIDENTIAL LOCATION
NATURE OF BUSINESS: FINANCIAL SERVICES
START DATE: 09/2018
POSITION/TITLE/RELATIONSHIP: OWNER
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5
BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES
(4) NAME OF OTHER BUSINESS: EMILY RUFFIN DESIGNS ;
INVESTMENT RELATED: NO ;
ADDRESS: 119 BENT ST, TAOS, MN 87571 ;
NATURE OF BUSINESS: RETAIL SALES ;
START DATE: 10/2020
POSITION/TITLE/RELATIONSHIP: SALES CLERK ;
APX NUMBER OF HOURS PER WEEK: 10-15 ;
APX NUMBER OF HOURS DURING TRADING HOURS: 10-15 ;
BRIEF DESCRIPTION OF DUTIES: RETAIL SALES ;
CRS (Client Relationship Summary) - RIA
Click below to view Frank Joseph Libertino's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frank Joseph Libertino'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
September 25, 2024 - Present
MONEY CONCEPTS CAPITAL CORP
RIA
BD
CRD#: 12963
EL PRADO, NM
Current
September 24, 2024 - Present
MONEY CONCEPTS CAPITAL CORP
RIA
BD
CRD#: 12963
EL PRADO, NM
Past
June 29, 2023 - September 29, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
El Prado, NM
Past
July 26, 2010 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
El Prado, NM
Past
March 26, 2010 - September 29, 2024
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
El Prado, NM
Past
July 15, 1999 - November 29, 2000
PARKER FINANCIAL CORP.
BD
CRD#: 42140
VALLEY COTTAGE, NY
Past
September 18, 1997 - January 12, 1998
NEEDHAM & COMPANY, LLC
BD
CRD#: 16360
NEW YORK, NY
Past
October 18, 1995 - November 21, 1996
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
January 9, 1991 - August 17, 1995
BMO CAPITAL MARKETS CORP.
BD
CRD#: 16686
NEW YORK, NY
Past
June 22, 1989 - December 12, 1990
CANTOR FITZGERALD & CO.
BD
CRD#: 134
NEW YORK, NY
Past
June 11, 1986 - October 30, 1986
NEEDHAM & COMPANY, LLC
BD
CRD#: 16360
Past
September 21, 1983 - May 8, 1986
L. F. ROTHSCHILD & CO. INCORPORATED
BD
CRD#: 501
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
California(2/28/2025)
RR
Louisiana(5/15/2025)
RR
New Mexico(9/24/2024)
IAR
New Mexico(9/25/2024)
RR
Oregon(10/15/2024)
RR
Pennsylvania(10/15/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 10/6/1999
Limited Representative-Equity Trader ExamSRO 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)
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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)
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.
