Thomas M. Ungrady
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.
Thomas Michael Ungrady was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 4, Series 51, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2014 - June 7, 2022
MONEY CONCEPTS CAPITAL CORP
October 15, 2014 - June 7, 2022
MONEY CONCEPTS CAPITAL CORP
September 2, 2011 - September 30, 2014
OSAIC SERVICES, INC.
August 25, 2011 - September 30, 2014
OSAIC SERVICES, INC.
September 8, 2003 - August 30, 2011
NEXT FINANCIAL GROUP, INC.
September 2, 2003 - August 30, 2011
NEXT FINANCIAL GROUP, INC.
January 15, 2002 - August 29, 2003
SECURITIES SERVICE NETWORK, LLC
January 18, 2001 - December 11, 2001
PRIME CAPITAL SERVICES, INC.
March 22, 1996 - December 31, 2000
LEGACY FINANCIAL SERVICES, INC.
April 28, 1994 - April 1, 1996
HACKETT ASSOCIATES, INC.
February 8, 1993 - December 31, 1993
PFS INVESTMENTS 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.
