John P. Schmidt
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.
John Patrick Schmidt was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1999. John had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
September 16, 2015 - May 20, 2025
MONEY CONCEPTS CAPITAL CORP
September 16, 2015 - May 20, 2025
MONEY CONCEPTS CAPITAL CORP
November 17, 2010 - September 14, 2015
AMERICAN EQUITY INVESTMENT CORPORATION
November 3, 2010 - September 14, 2015
AMERICAN CAPITAL MANAGEMENT, INC.
January 19, 2010 - July 14, 2010
PRIVATE CLIENT SERVICES, LLC
January 19, 2010 - July 14, 2010
PRIVATE CLIENT SERVICES, LLC
August 6, 2009 - December 31, 2009
AMERICAN CAPITAL MANAGEMENT, INC.
January 7, 2008 - December 31, 2009
AMERICAN EQUITY INVESTMENT CORPORATION
January 4, 2007 - December 21, 2007
NEXT FINANCIAL GROUP, INC.
January 4, 2007 - December 21, 2007
NEXT FINANCIAL GROUP, INC.
August 15, 2003 - January 9, 2007
WADDELL & REED
April 1, 1999 - January 9, 2007
WADDELL & REED
January 15, 1999 - March 29, 1999
MONY SECURITIES CORPORATION
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.
