PO
Peter J. Orth
MONEY CONCEPTS CAPITAL CORP
Wilmington, NC
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CRD#: 2176861
PO
Professional summary
Peter John Orth is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in Wilmington, North Carolina and LIBERTY ONE INVESTMENT MANAGEMENT located in Wilmington, North Carolina.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Peter has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 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. 818 Capital Group, LLC; Salaried Employee Since April 2007. Customer Service/Payroll Company,160 Hours a month during securities trading hours. 2. Liberty One Investment Management, LLC - Business Development Team member. Works closely with various Financial Advisors who utilize Liberty One strategies with their clients. Investment committee member. Coaches and mentors other Business Development teammates. 90% of Peter's time is spent fulfilling his Liberty One responsibilities.
CRS (Client Relationship Summary) - RIA
Click below to view Peter John Orth's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Peter John Orth'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
April 19, 2007 - Present
MONEY CONCEPTS CAPITAL CORP
RIA
BD
CRD#: 12963
Wilmington, NC
Current
October 22, 2019 - Present
LIBERTY ONE INVESTMENT MANAGEMENT
RIA
CRD#: 304290
Wilmington, NC
Current
April 19, 2007 - Present
MONEY CONCEPTS CAPITAL CORP
RIA
BD
CRD#: 12963
Wilmington, NC
Past
October 20, 2005 - January 8, 2007
LADENBURG THALMANN ASSET MANAGEMENT INC
RIA
CRD#: 108604
NEW YORK, NY
Past
October 18, 2005 - March 26, 2007
LADENBURG THALMANN & CO. INC.
BD
CRD#: 505
LINCONSHIRE, IL
Past
February 11, 2003 - October 19, 2005
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
LINCOLNSHIRE, IL
Past
February 11, 2003 - October 19, 2005
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN DIEGO, CA
Past
August 27, 2002 - February 4, 2003
WS GRIFFITH SECURITIES, INC.
RIA
CRD#: 10410
ROSEMONT, IL
Past
August 14, 2002 - February 4, 2003
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
April 9, 1992 - October 12, 2001
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
October 24, 1991 - March 23, 1992
OAK RIDGE INVESTMENTS, INC.
BD
CRD#: 25544
CHICAGO, IL
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
Illinois(4/19/2007)
IAR
Illinois(4/19/2007)
RR
North Carolina(10/18/2017)
IAR
North Carolina(10/22/2019)
RR
South Carolina(10/18/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/31/1995
General Securities Sales Supervisor Examination (Options Module & General Module)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.
