Robert L. Cawman

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CRD#: 2456254

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.

Robert Lester Cawman, who also goes by Bob Cawman, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 4 firms and has passed the Series 63, SIE, Series 62 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bob Cawman

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 15, 2006 - August 14, 2019

MONEY CONCEPTS CAPITAL CORP

RIA

CRD#: 12963

FLORENCE, KY

Past

June 12, 2006 - August 14, 2019

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

FLORENCE, KY

Past

January 27, 2004 - June 15, 2006

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

FLORENCE, KY

Past

July 24, 1997 - June 15, 2006

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

FLORENCE, KY

Past

January 2, 1996 - July 25, 1997

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

April 11, 1994 - January 1, 1996

L.M. KOHN & COMPANY

CRD#: 27913

CINCINNATI, OH

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".

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/6/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 62

Date: 2/5/2008

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 4/8/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MONEY CONCEPTS ADVISORY SERVICE FORM ADV PART 2A (3/20/2025)

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.

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Robert L. Cawman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MONEY CONCEPTS CAPITAL CORP

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

OSAIC WEALTH, INC.

L.M. KOHN & COMPANY

Primary Firm SEC Registration

MONEY CONCEPTS CAPITAL CORP

State Registrations and Notice Filings

Exams

Series 63

Date: 5/6/1994

SIE

Date: 10/1/2018

Series 62

Date: 2/5/2008

Series 6

Date: 4/8/1994

Current Firm

MONEY CONCEPTS CAPITAL CORP

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MONEY CONCEPTS CAPITAL CORP

TRUST BUT VERIFY

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