RW
Richard L. Wunderlich
MONEY CONCEPTS CAPITAL CORP
Minerva, OH
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CRD#: 1395400
RW
Professional summary
Richard Lee Wunderlich Jr, who also goes by Richard Lee Wunderlich Jr, Richard Lee Wunderlich, is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in Minerva, Ohio.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Richard has worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Lee Wunderlich Jr | Richard Lee Wunderlich
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. EVERGREEN FINANCIAL SERVICES, LLC - MANAGING MEMBER, REGISTERED 11/29/04, ACTIVE 01/02/05 TO PRESENT, 5-10 HOURS PER WEEK, Tax & Business Strategy work for buisness owners & Individuals 2. NB RE ADVISORS, LLC - MANAGING MEMBER, REGISTERED 07/27/11, ACTIVE 01/02/12, REAL ESTATE ADVISORY AND CONTRACTING SERVICES, 5-10 HOURS PER WEEK, UMBRELLAS CONSTRUCTION, REHABILITATION, MAINTENANCE AND REAL ESTATE ADVISORY SERVICES TO EVERGREEN CLIENTS. 3. EVANICH ACCOUNTING & TAX LLC, SENIOR ACCOUNTANT/CONSULTANT, 09/2017 TO PRESENT, 35-40 HOURS PER WEEK (DURING MARKET HOURS), GENERAL ACCOUNTING AND TAX PREPARATION.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Lee Wunderlich Jr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Lee Wunderlich Jr'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
March 2, 2023 - Present
MONEY CONCEPTS CAPITAL CORP
RIA
BD
CRD#: 12963
Minerva, OH
Current
March 2, 2023 - Present
MONEY CONCEPTS CAPITAL CORP
RIA
BD
CRD#: 12963
Minerva, OH
Past
July 25, 2017 - March 2, 2023
MARINER INVESTMENT GROUP
BD
CRD#: 35993
Minerva, OH
Past
March 13, 2017 - March 3, 2023
NORTHSTAR FIDUCIARY PARTNERS, LLC
RIA
CRD#: 284994
Minerva, OH
Past
August 20, 2014 - July 25, 2017
AMERICA NORTHCOAST SECURITIES, INC.
BD
CRD#: 16076
CLEVELAND, OH
Past
February 7, 2014 - November 12, 2015
ARBOR COURT CAPITAL, LLC
BD
CRD#: 143839
BROADVIEW HEIGHTS, OH
Past
December 21, 2010 - November 28, 2011
GOLD COAST SECURITIES, INC.
RIA
CRD#: 110925
THOUSAND OAKS, CA
Past
December 17, 2010 - November 28, 2011
GOLD COAST SECURITIES, INC.
BD
CRD#: 110925
THOUSAND OAKS, CA
Past
January 4, 2006 - December 31, 2008
L.M. KOHN & COMPANY
RIA
CRD#: 27913
OLMSTED FALLS, OH
Past
January 4, 2005 - December 31, 2008
L.M. KOHN & COMPANY
BD
CRD#: 27913
OLMSTED FALLS, OH
Past
April 5, 2004 - December 31, 2004
NEBS FINANCIAL SERVICES, INC.
BD
CRD#: 103874
CLEVELAND, OH
Past
January 27, 2003 - May 4, 2004
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
Past
June 6, 1991 - January 1, 2001
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
October 28, 1987 - June 15, 1988
GEMINI CAPITAL CORP.
BD
CRD#: 10395
Past
October 31, 1985 - May 29, 1991
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
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
Ohio(3/2/2023)
IAR
Ohio(3/2/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
