Olen R. Kirkpatrick
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.
Olen Ray Kirkpatrick was a registered financial professional .
Olen is a previously registered financial professional and started their career in finance in 1987. Olen had worked at 11 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2016 - December 31, 2025
MONEY CONCEPTS CAPITAL CORP
June 1, 2016 - December 31, 2025
MONEY CONCEPTS CAPITAL CORP
September 8, 2011 - May 2, 2016
OSAIC SERVICES, INC.
August 30, 2011 - May 2, 2016
OSAIC SERVICES, INC.
June 17, 2010 - September 2, 2011
NEXT FINANCIAL GROUP, INC.
April 30, 2010 - September 2, 2011
NEXT FINANCIAL GROUP, INC.
April 16, 2004 - May 18, 2010
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 7, 2004 - May 18, 2010
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 26, 2002 - April 15, 2004
INTERVEST INTERNATIONAL, INC.
May 2, 2002 - April 12, 2004
INTERVEST INTERNATIONAL EQUITIES CORPORATION
February 26, 1994 - May 9, 2002
WOODBURY FINANCIAL SERVICES, INC.
June 20, 1988 - February 16, 1994
TITAN/VALUE EQUITIES GROUP, INC.
June 9, 1987 - July 5, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 9, 1987 - July 5, 1988
EQUITABLE ADVISORS, LLC
April 29, 1987 - May 14, 1987
EQUITY ANALYSTS 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.
