OK
Olen R. Kirkpatrick
MONEY CONCEPTS CAPITAL CORP
Franklin, OH 45005
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CRD#: 1267250
OK
Professional summary
Olen Ray Kirkpatrick is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in Franklin, Ohio.
Olen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Olen has worked at 11 firms and has passed the Series 63, SIE and Series 6 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) FLAGSHIP FINANCIAL SERVICES (DBA, CORP); BUSINESS OWNER. START DATE 2/1992. TOTAL HOURS/MONTH 160. 80 HRS/MONTH DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Olen Ray Kirkpatrick's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Olen Ray Kirkpatrick'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
June 2, 2016 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 8401 Claude Thomas Road Suite 3, Franklin, OH 45005RIA
BD
CRD#: 12963
Franklin, OH
Current
June 1, 2016 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 8401 Claude Thomas Road Suite 3, Franklin, OH 45005RIA
BD
CRD#: 12963
Franklin, OH
Past
September 8, 2011 - May 2, 2016
OSAIC SERVICES, INC.
RIA
CRD#: 133763
FRANKLIN, OH
Past
August 30, 2011 - May 2, 2016
OSAIC SERVICES, INC.
BD
CRD#: 133763
FRANKLIN, OH
Past
June 17, 2010 - September 2, 2011
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
FRANKLIN, OH
Past
April 30, 2010 - September 2, 2011
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
FRANKLIN, OH
Past
April 16, 2004 - May 18, 2010
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
FRANKLIN, OH
Past
April 7, 2004 - May 18, 2010
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
FRANKLIN, OH
Past
July 26, 2002 - April 15, 2004
INTERVEST INTERNATIONAL, INC.
RIA
CRD#: 111516
FRANKLIN, OH
Past
May 2, 2002 - April 12, 2004
INTERVEST INTERNATIONAL EQUITIES CORPORATION
BD
CRD#: 20289
COLORADO SPRINGS, CO
Past
February 26, 1994 - May 9, 2002
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
June 20, 1988 - February 16, 1994
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
June 9, 1987 - July 5, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
June 9, 1987 - July 5, 1988
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
April 29, 1987 - May 14, 1987
EQUITY ANALYSTS INC.
BD
CRD#: 15876
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
Alabama(6/10/2016)
RR
Ohio(6/2/2016)
IAR
Ohio(6/2/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
