SK
Shawn Kost
MONEY CONCEPTS CAPITAL CORP
New Albany, IN 47150
Some features on this profile are disabled
CRD#: 3028613
SK
Professional summary
Shawn Kost, who also goes by Shawn Robert Kost, Shawn R Kost, is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in New Albany, Indiana.
Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Shawn has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shawn Robert Kost | Shawn R Kost
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. Ohio Valley Medex Inc. Address: New Albany, IN. Nature of the Business: Board Member/Officer/Director. Position/Title: Officer - CEO. Investment Related:No. Start Date: 01/24/2018. Hours per month devoted to this business: 10. Hours per month devoted to this business during trading hours: 0. Description of duties: Overall management of company, which is a family business. 2. Shawn & Dawn LLC dba New Dawn Properties, Non-investment related, 1-10% time spent on activity during securities hrs.
CRS (Client Relationship Summary) - RIA
Click below to view Shawn Kost's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Shawn Kost'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®
NoneExperience
Current
October 16, 2019 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 700 East Spring Street, New Albany, IN 47150RIA
BD
CRD#: 12963
New Albany, IN
Current
October 16, 2019 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 700 East Spring Street, New Albany, IN 47150RIA
BD
CRD#: 12963
New Albany, IN
Past
April 7, 2017 - October 10, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
LOUISVILLE, KY
Past
April 3, 2017 - October 10, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
LOUISVILLE, KY
Past
January 20, 2017 - March 1, 2017
EDWARD JONES
RIA
CRD#: 250
JEFFERSONVILLE, IN
Past
January 20, 2017 - March 1, 2017
EDWARD JONES
BD
CRD#: 250
JEFFERSONVILLE, IN
Past
December 14, 2016 - January 24, 2017
AMERICAN EQUITY INVESTMENT CORPORATION
BD
CRD#: 40199
NEW ALBANY, IN
Past
November 21, 2016 - January 24, 2017
AMERICAN CAPITAL MANAGEMENT, INC.
RIA
CRD#: 122452
New Albany, IN
Past
August 10, 2011 - December 17, 2014
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
NEW ALBANY, IN
Past
August 10, 2011 - December 17, 2014
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
NEW ALBANY, IN
Past
January 20, 2011 - August 2, 2011
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
LOUISVILLE, KY
Past
July 6, 2005 - August 2, 2011
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
LOUISVILLE, KY
Past
May 7, 1998 - July 6, 2005
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
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
Florida(10/16/2019)
RR
Indiana(10/16/2019)
IAR
Indiana(10/16/2019)
RR
Kentucky(10/16/2019)
RR
Ohio(10/16/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
