CW
Constance R. Woods
MONEY CONCEPTS CAPITAL CORP
Vandalia, OH 45377
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CRD#: 4451930
CW
Professional summary
Constance R Woods, who also goes by Constance Ruth Hartman, is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in Vandalia, Ohio.
Constance is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Constance has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Constance Ruth Hartman
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. WOODS & WOODS ASSOCIATES LTD. FROM 09/1983. 200 HRS/WK. ALL DURNING SECURITIES TRADING, PARTNER. ACCOUNTANT, MANAGMENT. 2. Woods Professional Building LLC, owner, commercial real estate rental. Non-investment related, 1-20% time spent on activity during non-securities hrs. 3. Woods & Woods Personnel Leasing Inc, OWNER,OFFICER, Employee leasing. Non-investment related, 1-20% time spent on activity during non-securities hrs. 4. The Woods Financial Group, Ltd, OWNER. Non-investment related, 1-20% time spent on activity during non-securities hrs.
CRS (Client Relationship Summary) - RIA
Click below to view Constance R Woods's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Constance R Woods'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
June 2, 2003 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 206 North Dixie Drive, Vandalia, OH 45377RIA
BD
CRD#: 12963
Vandalia, OH
Current
January 30, 2003 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 206 North Dixie Drive, Vandalia, OH 45377RIA
BD
CRD#: 12963
Vandalia, OH
Past
January 23, 2002 - January 24, 2003
NYLIFE SECURITIES LLC
BD
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".
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(4/4/2025)
RR
North Carolina(8/24/2015)
RR
Ohio(1/30/2003)
IAR
Ohio(6/2/2003)
RR
South Carolina(7/14/2021)
Exams
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)
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963Vandalia, OH 45377TRUST BUT VERIFY
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