Michael E. Jones
Professional summary
Michael Edward Jones, CFP®, who also goes by Michael E Jones, Michael Edward Jones, is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in Charlotte, North Carolina.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 52, Series 10 and Series 9 exams.
Services Offered
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael Edward Jones's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Edward Jones's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2001
Experience
November 6, 2024 - Present
MONEY CONCEPTS CAPITAL CORP
November 6, 2024 - Present
MONEY CONCEPTS CAPITAL CORP
August 4, 2023 - November 6, 2024
PRUCO SECURITIES, LLC.
August 4, 2023 - November 6, 2024
PRUCO SECURITIES, LLC.
October 16, 2014 - July 18, 2023
GWN SECURITIES INC.
October 16, 2014 - July 18, 2023
GWN SECURITIES INC.
May 4, 2012 - October 6, 2014
SECURITY DISTRIBUTORS
March 10, 2011 - February 10, 2012
NATIONWIDE INVESTMENT SERVICES CORPORATION
October 22, 2010 - February 24, 2011
PATRICK CAPITAL MARKETS, LLC
March 29, 2006 - June 4, 2010
VAN KAMPEN ADVISORS INC
March 29, 2006 - June 4, 2010
INVESCO CAPITAL MARKETS, INC.
July 26, 2004 - March 20, 2006
AMERIPRISE ADVISOR SERVICES, INC.
July 26, 2004 - March 20, 2006
AMERIPRISE ADVISOR SERVICES, INC.
April 16, 2002 - July 26, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 13, 2000 - July 26, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 23, 1997 - March 14, 2000
WACHOVIA SECURITIES, INC.
March 4, 1996 - December 22, 1997
AMERIPRISE ADVISOR SERVICES, INC.
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
(11/6/2024)
(11/6/2024)
(11/6/2024)
Exams
FINRA
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.
