Carol S. Schulstad

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CRD#: 3230688

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.

Carol S Schulstad, who also goes by Carol Schulstad, Carol S Schulstad Amstutz, Carol Simmons, was a registered financial professional .

Carol is a previously registered financial professional and started their career in finance in 1999. Carol had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carol Schulstad | Carol S Schulstad Amstutz | Carol Simmons

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.

NAME OF BUSINESS:FIRST DAY PHOTO ; TYPE OF BUSINESS:SMALL BUSINESS (E.G. DAYCARE OR FAMILY BUSINESS OR DESIGN), DAUGHTER'S PHOTOGRAPHY BUSINESS ; NOT INVESTMENT RELATED;OTHER, CONSULTANT-WRITE MONTHLY SCHEDULES FOR HER PHOTOGS. SCREEN CANDIDATE PHOTOGRAPHERS. ; HRS/MONTH: 0 - 20 ; INC: UP TO $10000;NO ACTIVITY INVOLVES AMERIPRISE CLIENTS; NO ACTIVITY LIKELY TO INTERFERE WITH RESPONSIBILITY TO COMPANY AND ITS CLIENTS; NO ACTIVITY LIKELY TO BE VIEWED BY CLIENTS OR PUBLIC AS AMERIPRISE ACTIVITY. NAME OF BUSINESS: FAITH AND FREEDOM COALITION; TYPE OF BUSINESS: NON-PROFIT, VOTER EDUCATION; NOT INVESTMENT RELATED;BOARD OF DIRECTORS, CONSULT ON BOARD; HRS/MONTH: 0 - 20 ; INC: $NO INCOME;NO ACTIVITY INVOLVES AMERIPRISE CLIENTS; NO ACTIVITY LIKELY TO INTERFERE WITH RESPONSIBILITY TO COMPANY AND ITS CLIENTS; NO ACTIVITY LIKELY TO BE VIEWED BY CLIENTS OR PUBLIC AS AMERIPRISE ACTIVITY. Name of Activity: CARVER COUNTY REPUBLICAN BPOU; Date Activity Started/Modified/Ended: 4/29/2022; Type of Activity: Non-Profit; Role/Relationship: Officer; Responsibilities: TAKE MEETING NOTES, ARCHIVE AFTER APPROVAL, KEEP MEMBER/DELEGATE DATA CURRENT; Total Hours Per Month: 0 - 20; Total Hours Per Month During Trading Hours: 0 - 20; Does this activity include providing investment advice, conducting securities trading or managing the assets of others? No; --- END ---

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

November 14, 2022 - April 17, 2024

MONEY CONCEPTS CAPITAL CORP

RIA

CRD#: 12963

PALM BEACH GARDENS, FL

Past

November 11, 2022 - April 17, 2024

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

PALM BEACH GARDENS, FL

Past

June 5, 2012 - November 9, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MINNEAPOLIS, MN

Past

May 10, 2010 - November 9, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

August 21, 2008 - March 25, 2010

SUNSET FINANCIAL SERVICES, INC.

CRD#: 3538

EDEN PRAIRIE, MN

Past

January 22, 2008 - July 30, 2008

OSAIC FA, INC.

CRD#: 3978

EDINA, MN

Past

May 17, 2005 - December 21, 2007

NEW ENGLAND SECURITIES

CRD#: 615

MINNETONKA, MN

Past

June 30, 1999 - February 15, 2005

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, 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".

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

IAR

Series 66

Date: 6/1/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/20/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/26/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/25/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/31/2007

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 5/23/2006

Investment Company Products/Variable Contracts Principal 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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Firm Stability Insights

Carol S. Schulstad

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MONEY CONCEPTS CAPITAL CORP

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

SUNSET FINANCIAL SERVICES, INC.

OSAIC FA, INC.

NEW ENGLAND SECURITIES

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

MONEY CONCEPTS CAPITAL CORP

State Registrations and Notice Filings

Exams

Series 66

Date: 6/1/2012

Series 63

Date: 7/20/1999

SIE

Date: 10/1/2018

Series 7

Date: 9/26/2006

Series 6

Date: 6/25/1999

Series 24

Date: 5/31/2007

Series 26

Date: 5/23/2006

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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