Bert B. Cupit
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.
Bert Bennett Cupit, CFP® was a registered financial professional .
Bert is a previously registered financial professional and started their career in finance in 1986. Bert had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2011
Experience
September 27, 2017 - April 1, 2024
MONEY CONCEPTS CAPITAL CORP
September 27, 2017 - April 1, 2024
MONEY CONCEPTS CAPITAL CORP
February 23, 2010 - September 28, 2017
INVESTMENT CENTERS OF AMERICA, INC.
January 5, 2010 - September 28, 2017
INVESTMENT CENTERS OF AMERICA, INC.
March 24, 2006 - October 29, 2009
AST INVESTMENT SERVICES, INC.
March 12, 2003 - March 24, 2004
AMERICAN SKANDIA ADVISORY SERVICES, INC.
November 12, 2001 - October 29, 2009
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
March 24, 1998 - February 19, 1999
HIMCO DISTRIBUTION SERVICES COMPANY
April 24, 1995 - January 23, 1998
MORGAN STANLEY DW INC.
January 8, 1990 - May 1, 1995
LLAMA COMPANY
July 9, 1987 - January 16, 1990
FIRSTMONEY SECURITIES CORPORATION
July 23, 1986 - July 15, 1987
UMIC, 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.
