DP
Duane F. Porter
MONEY CONCEPTS CAPITAL CORP
Prineville, OR
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CRD#: 4304857
DP
Professional summary
Duane F. Porter, who also goes by Duane F. Porter, Duane Porter, is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in Prineville, Oregon.
Duane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Duane has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Duane F. Porter | Duane Porter
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)Porter & Porter, LLC. DBA: DFP Financial & Consulting, non-investment related, 3954 SE Riverview Rd., Owner , START DATE:8/1/2018 APPROXIMATE NUMBER OF HOURS/MONTH:200 APPROXIMATE NUMBER OF HOURS DURING TRADING HOURS:0 2. High Desert Christian Academy, Since 5/6/2024, 1201 NE Elm St., Prineville, OR, 97754. Board Member, Non-investment related, 1-10% time spent on activity during non-securities hrs. 3. Crook County Sheriff's Mounted Posse, since 5/1/2024, Charity. Officer/1st. Lieutenant. Volunteer Sworren Mounted Posse Member. Duties: primarily ceremonial events like parades representing the heritage of the Sheriff's Department. Promoted to 1st Leutentan Non-investment related, 1-10% time spent on activity during non-securities hrs. 5hrs total hrs per month. Zero hrs during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Duane F. Porter's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Duane F. Porter'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
September 10, 2019 - Present
MONEY CONCEPTS CAPITAL CORP
Office #2: 11440 Jog Road, Palm Beach Gardens, FL 33418RIA
BD
CRD#: 12963
Prineville, OR
Current
September 10, 2019 - Present
MONEY CONCEPTS CAPITAL CORP
Office #2: 11440 Jog Road, Palm Beach Gardens, FL 33418RIA
BD
CRD#: 12963
Prineville, OR
Past
August 12, 2019 - August 30, 2019
SORRENTO PACIFIC FINANCIAL, LLC
RIA
CRD#: 127787
SAN DIEGO, CA
Past
August 12, 2019 - August 30, 2019
SORRENTO PACIFIC FINANCIAL, LLC
BD
CRD#: 127787
SAN DIEGO, CA
Past
February 28, 2014 - July 23, 2019
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
Prineville, OR
Past
February 28, 2014 - July 23, 2019
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
Prineville, OR
Past
February 9, 2006 - December 26, 2013
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
BEND, OR
Past
November 1, 2002 - December 26, 2013
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
BEND, OR
Past
January 9, 2001 - October 16, 2002
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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(8/17/2021)
RR
California(10/8/2019)
RR
Idaho(9/14/2021)
RR
Minnesota(12/21/2022)
RR
New York(12/21/2022)
RR
North Dakota(12/21/2022)
RR
Oregon(9/10/2019)
IAR
Oregon(9/10/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
