James W. Heuer
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 William Heuer, who also goes by James W Heuer, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2012 - October 25, 2016
MONEY CONCEPTS CAPITAL CORP
January 4, 2012 - October 25, 2016
MONEY CONCEPTS CAPITAL CORP
May 26, 2011 - January 4, 2012
SB ADVISORY, LLC
April 13, 2011 - January 4, 2012
IFS SECURITIES
November 13, 2009 - April 11, 2011
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - April 11, 2011
PNC WEALTH MANAGEMENT LLC
June 5, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
June 3, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
October 13, 2008 - June 4, 2009
VALIC FINANCIAL ADVISORS, INC.
October 13, 2008 - June 4, 2009
VALIC FINANCIAL ADVISORS, INC.
July 28, 2004 - October 14, 2008
MORGAN KEEGAN & COMPANY, LLC
July 28, 2004 - October 14, 2008
MORGAN KEEGAN & COMPANY, LLC
June 9, 2003 - August 5, 2004
UNION PLANTERS INVESTMENT ADVISORS, INC.
April 24, 2002 - August 5, 2004
PFIC SECURITIES CORPORATION
December 1, 2001 - April 4, 2002
U.S. BANCORP INVESTMENTS, INC.
January 3, 2000 - December 1, 2001
FIRSTAR INVESTMENT SERVICES,INC.
March 20, 1998 - January 3, 2000
MERCANTILE INVESTMENT SERVICES, INC.
February 25, 1998 - March 19, 1998
MERCANTILE INVESTMENT SERVICES, INC.
March 6, 1996 - March 16, 1998
PRUCO SECURITIES, LLC.
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.
