DM
David B. Mcmillen
MONEY CONCEPTS CAPITAL CORP
Boulder, CO
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CRD#: 1198070
DM
Professional summary
David Bruce Mcmillen is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in Boulder, Colorado.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. David has worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 22, Series 6 and Series 26 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) FOUNDATION WEALTH MANAGEMENT, LLC. non-investment related. Start Date 2001. Director. 160 total hrs per month, 120hrs during securities trading hours. (2) FOUNDATION FINANCIAL GROUP, INC. non-investment related. Start date March 25, 1996. 100% Shareholder. Use for tax reporting purposes only. 2 total hrs per month, 1hr during securities trading hours. (3) Federal Benefits Academy, since 6/15/2025, Agent, Educator, Non-investment related, 1-10% time spent on activity during securities hrs.
CRS (Client Relationship Summary) - RIA
Click below to view David Bruce Mcmillen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Bruce Mcmillen'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
May 3, 2024 - Present
MONEY CONCEPTS CAPITAL CORP
RIA
BD
CRD#: 12963
Boulder, CO
Current
May 3, 2024 - Present
MONEY CONCEPTS CAPITAL CORP
RIA
BD
CRD#: 12963
Boulder, CO
Past
January 24, 2003 - May 6, 2024
CROWN CAPITAL SECURITIES, L.P.
RIA
CRD#: 6312
BOULDER, CO
Past
January 2, 2003 - May 6, 2024
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
BOULDER, CO
Past
August 25, 2000 - January 21, 2003
CETERA ADVISORS LLC
RIA
CRD#: 10299
ENGLEWOOD, CO
Past
July 20, 2000 - January 21, 2003
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
June 13, 1995 - July 20, 2000
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
June 25, 1992 - June 7, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
June 25, 1992 - June 7, 1995
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
May 8, 1985 - June 30, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
May 8, 1985 - June 30, 1992
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
December 21, 1984 - March 5, 1986
WOMEN SECURITIES INTERNATIONAL
BD
CRD#: 10422
Past
October 10, 1983 - November 19, 1984
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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
Arizona(11/13/2024)
RR
California(5/29/2024)
RR
Colorado(5/3/2024)
IAR
Colorado(5/3/2024)
RR
Illinois(10/30/2024)
RR
Michigan(5/29/2024)
RR
New York(11/5/2024)
RR
Ohio(8/9/2024)
RR
Oregon(9/19/2024)
RR
South Dakota(11/1/2024)
RR
Wisconsin(7/30/2024)
RR
Wyoming(2/21/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO 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.
