Lemuel W. Kornegay
Professional summary
Lemuel Weyher Kornegay III, who also goes by Lemuel Weyher Kornegay, is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in Cary, North Carolina.
Lemuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Lemuel has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Lemuel Weyher Kornegay III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lemuel Weyher Kornegay III's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 16, 2015 - Present
MONEY CONCEPTS CAPITAL CORP
March 9, 2015 - Present
MONEY CONCEPTS CAPITAL CORP
February 25, 2014 - March 16, 2015
OSAIC FS, INC.
February 25, 2014 - March 16, 2015
OSAIC FS, INC.
August 30, 2012 - February 24, 2014
MONEY CONCEPTS CAPITAL CORP
August 30, 2012 - February 24, 2014
MONEY CONCEPTS CAPITAL CORP
January 10, 2008 - August 31, 2012
CETERA WEALTH SERVICES, LLC
December 6, 2007 - August 31, 2012
CETERA WEALTH SERVICES, LLC
June 3, 2005 - November 19, 2007
MONEY CONCEPTS CAPITAL CORP
June 3, 2005 - November 19, 2007
MONEY CONCEPTS CAPITAL CORP
September 15, 2004 - June 20, 2005
PRINCIPAL SECURITIES, INC.
August 25, 2004 - June 20, 2005
PRINCIPAL SECURITIES, INC.
June 2, 2004 - August 24, 2004
A. G. EDWARDS & SONS, INC.
February 20, 2003 - August 24, 2004
A. G. EDWARDS & SONS, INC.
October 18, 2002 - February 27, 2003
TRANSAMERICA FINANCIAL ADVISORS, INC.
July 9, 2001 - October 18, 2002
HORNOR, TOWNSEND & KENT, LLC
August 8, 2000 - July 10, 2001
NATIONWIDE SECURITIES, LLC
March 12, 1997 - July 28, 2000
PRINCIPAL SECURITIES, INC.
August 1, 1996 - December 31, 1996
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 15, 1993 - September 19, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 15, 1993 - September 19, 1996
SIGNATOR INVESTORS, INC.
May 11, 1988 - November 30, 1988
NEW ENGLAND SECURITIES
June 20, 1986 - October 28, 1986
FORTH FINANCIAL SECURITIES, CORPORATION
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
(10/30/2024)
(8/20/2018)
(2/11/2019)
(3/9/2015)
(3/16/2015)
(3/9/2015)
(4/6/2017)
(3/9/2015)
Exams
FINRA
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.
