Scot A. Shier
MONEY CONCEPTS CAPITAL CORP
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 2462276
Professional summary
Scot Alan Shier, CFP® is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in Newport Beach, California.
Scot is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Scot has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 51 and Series 24 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) QUINTESSENTIAL FINANCIAL CORP POSITION: Owner / Corporate Officer NATURE: Doing Business As ("DBA") INVESTMENT RELATED: Yes NUMBER OF HOURS: DURING SECURITIES TRADING HOURS: 37. TOTAL HOURS PER MONTH: 40. START DATE: 06/02/2002 DBA For my investment/insurance/financial planning business, consulting services 2) QUINTESSENTIAL FINANCIAL & INSURANCE SERVICES CORP POSITION: Corporate Officer / Agent NATURE: Insurance - Health; Medicare-Sup INVESTMENT RELATED: No. NUMBER OF HOURS: 0 DURING SECURITIES TRADING HOURS: OVERALL TOTAL HOURS: 1. START DATE: 06/02/2002 DESCRIPTION: Sales and service of health insurance and fixed insurance. 3. Estate Planning Team, 45110 Club Dr. STE B, Indian Wells, CA 92210. Estate Planning, Agent,investment related, 1-10% time spent on activity during securities hrs. 4. CROWDRANK, INC., since 4/2022, Board Member, Non-investment related, 1-10% time spent on activity during non-securities hrs. 5. Harbor Pointe Newport Owners Association, since 1/2022, Director, Non-investment related, 1-10% time spent on activity during non-securities hrs. 6. Scripture Therapy Center, Inc., since 10/2021, Board member, Non-investment related, 1-10% time spent on activity during non-securities hrs. 7. Business Consultant/Elite Care Health Organization. Consulting Services since 02/01/2024. Non-investment related. 1-10% time spent on activity during non-securities hrs. 1-10% time spent on activity during securities hrs.
CRS (Client Relationship Summary) - RIA
Click below to view Scot Alan Shier's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scot Alan Shier'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: 2007
Experience
Current
April 8, 2019 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 1111-a Quail St., Newport Beach, CA 92660RIA
BD
CRD#: 12963
Newport Beach, CA
Current
April 5, 2019 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 1111-a Quail St., Newport Beach, CA 92660RIA
BD
CRD#: 12963
Newport Beach, CA
Past
April 4, 2006 - April 8, 2019
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
Newport Beach, CA
Past
April 4, 2006 - April 8, 2019
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
Newport Beach, CA
Past
March 28, 2000 - April 3, 2006
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
RIA
CRD#: 104790
LOS ANGELES, CA
Past
November 10, 1999 - April 3, 2006
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
MISSION VIEJO, CA
Past
April 15, 1999 - November 12, 1999
EISNER SECURITIES, INC.
BD
CRD#: 40585
ST. LOUIS, MO
Past
March 18, 1999 - November 11, 1999
SYNDICATED CAPITAL, INC.
BD
CRD#: 29037
DIAMOND BAR, CA
Past
July 7, 1997 - June 16, 1999
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
March 28, 1994 - June 3, 1997
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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
Arizona(4/5/2019)
RR
California(4/5/2019)
IAR
California(4/8/2019)
RR
Colorado(12/1/2020)
IAR
Colorado(12/1/2020)
RR
Florida(8/19/2021)
RR
Indiana(12/26/2024)
RR
Minnesota(8/4/2020)
RR
Ohio(3/23/2020)
RR
Oregon(4/5/2019)
RR
South Carolina(4/5/2019)
RR
Texas(4/5/2019)
RR
Washington(4/5/2019)
RR
Wyoming(11/16/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
