JH
James B. Harris
MONEY CONCEPTS CAPITAL CORP
Marietta, GA 30066
Some features on this profile are disabled
CRD#: 1281305
JH
Professional summary
James Brice Harris is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in Marietta, Georgia.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. James has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 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. FINANCIAL PRACTICE MANAGEMENT CORP., SINCE 5/2009, PRESIDENT & FOUNDER, CONSULTING & COACHING SERIVICES FOR FINANCIAL PROFESSIONALS, 45 HRS. MO., 20 HRS. MO. DURING SECURITIES TRADING.
2. East Cobb Business Association, PO Box 70814 Marietta, GA 30007. Non-profit,charity, officer. Non-investment related, 0-10% time spent on activity during securities hrs.
CRS (Client Relationship Summary) - RIA
Click below to view James Brice Harris's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Brice Harris'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
January 27, 2005 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 2985 Gordy Parkway, Marietta, GA 30066Office #2: 1156 Bowman Road Suite 200, Mount Pleasant, SC 29464RIA
BD
CRD#: 12963
Marietta, GA
Current
February 17, 2004 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 2985 Gordy Parkway, Marietta, GA 30066Office #2: 1156 Bowman Road Suite 200, Mount Pleasant, SC 29464RIA
BD
CRD#: 12963
Marietta, GA
Past
May 9, 2003 - November 5, 2003
COLONIAL BROKERAGE, INC.
BD
CRD#: 111668
MONTGOMERY, AL
Past
April 23, 2001 - August 2, 2002
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
August 11, 2000 - January 25, 2001
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
COLUMBUS, OH
Past
July 1, 1996 - July 24, 2000
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
February 6, 1992 - January 14, 1994
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
January 1, 1992 - July 1, 1996
FINANCIAL HORIZONS SECURITIES CORPORATION
BD
CRD#: 20221
Past
November 20, 1989 - December 8, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
November 19, 1989 - March 1, 1990
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
November 10, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
October 9, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
August 9, 1989 - October 14, 1989
A. T. BROD & CO. INC.
BD
CRD#: 1319
CLEVELAND, OH
Past
March 28, 1988 - August 17, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
August 18, 1986 - April 4, 1988
JW GENESIS CLEARING CORP.
BD
CRD#: 6631
BOCA RATON, FL
Past
June 18, 1985 - August 29, 1986
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
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(11/10/2014)
RR
Arizona(4/26/2012)
RR
Arkansas(4/26/2024)
RR
California(1/4/2022)
RR
Colorado(7/30/2019)
RR
Florida(9/26/2005)
RR
Georgia(2/17/2004)
IAR
Georgia(1/27/2005)
RR
Illinois(1/6/2023)
RR
Kentucky(6/14/2023)
RR
Michigan(1/4/2022)
RR
Missouri(9/18/2025)
RR
New Hampshire(1/13/2022)
RR
New Jersey(2/17/2023)
RR
North Carolina(11/10/2014)
RR
North Dakota(1/6/2023)
RR
Ohio(7/19/2016)
RR
Pennsylvania(1/4/2022)
RR
South Carolina(11/8/2006)
IAR
South Carolina(11/17/2021)
RR
South Dakota(9/2/2022)
RR
Texas(6/8/2022)
RR
Utah(1/4/2022)
RR
Vermont(1/6/2023)
RR
Virginia(9/26/2005)
Exams
State Security Law Exam
State Security Law 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.
