Jack L. Sloan
MONEY CONCEPTS CAPITAL CORP
Metairie, LA 70002
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CRD#: 2437472
Professional summary
Jack Lawrence Sloan, CFP®, who also goes by Jack Lawrence Jay, is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in Metairie, Louisiana.
Jack is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Jack has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Investment Planning
Retirement Income Management
Retirement Planning
Employee and Employer Plan Ben...
Long-term Care
Comprehensive Financial Planni...
Tax Planning
Are you a "fiduciary"?
Yes
Aliases
Jack Lawrence Jay
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.EAST JEFFERSON GENERAL HOSPITAL FOUNDATION; No; 4200 HOUMA BLVD; METAIRIE; LA; 70006; NON-PROFIT ORGANIZATION; BOARD TRUSTEE; 7/15/2017; 2; 1; ATTEND MEETINGS,ADVOCATE FOR HOSPITAL, , Non-investment related, 1-10% time spent on activity during securities hrs. 2.Sloan Financial Services, LLC; No; 3421 N CAUSEWAY BLVD STE 402 ;; METAIRIE; LA; 70002; Director since 3/27/2023,Tax prep & consulting; Tax preparer; 1/1/1986; 16; 16; Tax preparation and consulting for personal & business returns, Non-investment related, 1-10% time spent on activity during securities hrs. 3.Paychex; No; 3421 N Causeway Blvd; Metairie; LA; 70002; Paychex payroll; affiliate/referror; 4/9/2020; 1; 1; referrals| for payroll, Non-investment related, 1-10% time spent on activity during securities hrs. 4. ADP ACCTG. SERVICES, since 8/15/2015, Refferror, Non-investment related, 1-10% time spent on activity during securities hrs. 5. East Jefferson General Hospital Foundation Outside Business Activities FINRA Rule 3270 prohibits any registered representative from being an employee, independent contractor, , since 3/27/2023, Officer, Board Secretary, Non-investment related, 1-10% time spent on activity during non-securities hrs.
CRS (Client Relationship Summary) - RIA
Click below to view Jack Lawrence Sloan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jack Lawrence Sloan'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®
CFP®
Start date: 1992
Experience
Current
March 21, 2023 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 3525 N Causeway Blvd Suite 728, Metairie, LA 70002RIA
BD
CRD#: 12963
Metairie, LA
Current
March 21, 2023 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 3525 N Causeway Blvd Suite 728, Metairie, LA 70002RIA
BD
CRD#: 12963
Metairie, LA
Past
June 9, 2021 - April 4, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
METAIRIE, LA
Past
June 9, 2021 - April 4, 2023
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
METAIRIE, LA
Past
January 1, 2004 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
METAIRIE, LA
Past
January 1, 2004 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
METAIRIE, LA
Past
January 29, 2003 - January 1, 2004
LOCUST STREET SECURITIES, INC.
RIA
CRD#: 1703
METARIE, LA
Past
July 22, 1999 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
August 30, 1994 - July 22, 1999
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
February 21, 1994 - September 14, 1994
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Alabama(3/21/2023)
RR
Colorado(3/21/2023)
RR
Florida(3/21/2023)
RR
Georgia(3/21/2023)
RR
Kansas(3/21/2023)
RR
Louisiana(3/21/2023)
IAR
Louisiana(3/21/2023)
RR
Mississippi(3/21/2023)
RR
Missouri(12/16/2024)
RR
North Carolina(4/2/2024)
RR
Texas(3/21/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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.
Company Information
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963Metairie, LA 70002TRUST BUT VERIFY
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Contact information
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