James P. Flint
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.
James Philip Flint was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1969. James had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2011 - December 31, 2015
MONEY CONCEPTS CAPITAL CORP
July 21, 2011 - December 31, 2015
MONEY CONCEPTS CAPITAL CORP
April 27, 2010 - July 7, 2011
M&I INVESTMENT MANAGEMENT CORP.
October 11, 2005 - March 26, 2010
M&I FINANCIAL ADVISORS, INC
January 6, 1998 - July 7, 2011
M&I FINANCIAL ADVISORS, INC
July 21, 1992 - January 28, 1998
THE O.N. EQUITY SALES COMPANY
June 6, 1985 - July 21, 1992
MML INVESTORS SERVICES, LLC
August 16, 1983 - June 14, 1985
HORNOR, TOWNSEND & KENT, LLC
May 16, 1969 - August 16, 1983
G. R. PHELPS & CO., 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
Series 1
Date: 5/14/1969
Registered Representative ExaminationCurrent 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.
