Karl A. Fong-yee
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.
Karl Anthony Fong-yee, who also goes by Karl Anthony Fong Yee, Karl A Fong-yee, Karl Fong-yee, Karl Anthony Fongyee, was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 1984. Karl had worked at 9 firms and has passed the Series 63, Series 7, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2010 - February 8, 2012
MONEY CONCEPTS CAPITAL CORP
October 1, 2007 - May 12, 2008
ALLSTATE FINANCIAL SERVICES, LLC
April 16, 1996 - October 9, 2006
CHARLES SCHWAB & CO., INC.
April 9, 1996 - October 9, 2006
CHARLES SCHWAB & CO., INC.
October 5, 1995 - April 11, 1996
UBS CAPITAL MARKETS L.P.
February 8, 1994 - September 14, 1995
CHARLES SCHWAB & CO., INC.
April 23, 1992 - October 15, 1992
MF GLOBAL INC.
October 29, 1991 - March 11, 1992
FIRST UNION BROKERAGE SERVICES, INC.
July 21, 1986 - October 31, 1991
SOUTHEAST BANK BROKERAGE SERVICE, INC.
March 22, 1984 - January 25, 1985
THE STUART-JAMES COMPANY, INCORPORATED
January 1, 1984 - March 27, 1984
FORESTERS 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
Series 8
Date: 8/14/1996
General Securities Sales Supervisor Examination (Options Module & General Module)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.
