AW
Allen D. Wandle
MONEY CONCEPTS CAPITAL CORP
Sunbury, OH 43074
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CRD#: 4476638
AW
Professional summary
Allen D Wandle, who also goes by Allen D Wandle, Allen Douglas Wandle, is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in Sunbury, Ohio.
Allen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Allen has worked at 4 firms and has passed the SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Allen D Wandle | Allen Douglas Wandle
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)WANDLE & ASSOCIATES, INC. 25 S COLUMBUS STREET SUNBURY, OHIO 43074 CATEGORY: CPA/ACCOUNTING INVESTMENT-RELATED: NO TITLE: OWNER DUTIES: OPERATE A SMALL CPA/ACCOUNTING OFFICE PREPARING BOOKKEEPING, PAYROLLS, TAX CONSULTING, AND INDIVIDUAL AND BUSINESS TAX RETURNS. CONSULTING ON COST OR TAX SAVINGS FOR INDIVIDUALS AND BUSINESS CLIENTS. START DATE: 1-1-99 HOURS PER MONTH: 240 HOURS PER MONTH DURING TRADING HOURS: 120 2) SUNBURY DINER LLC 40 E CHERRY STREET, SUNBURY, OH 43074 CATEGORY: RESTAURANT INVESTMENT RELATED: NO TITLE: OWNER DUTIES: OWNERSHIP, COVER ACCOUNTING START DATE: 04/01/2018 HOURS PER MONTH: 4 HOURS PER MONTH DURING TRADING HOURS: 0
CRS (Client Relationship Summary) - RIA
Click below to view Allen D Wandle's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Allen D Wandle'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
July 11, 2024 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 40 South Vernon Street, Sunbury, OH 43074Office #2: 25 South Columbus Street, Sunbury, OH 43074RIA
BD
CRD#: 12963
Sunbury, OH
Current
July 9, 2024 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 40 South Vernon Street, Sunbury, OH 43074Office #2: 25 South Columbus Street, Sunbury, OH 43074RIA
BD
CRD#: 12963
Sunbury, OH
Past
November 21, 2002 - April 23, 2024
OSAIC FA, INC.
RIA
CRD#: 3978
SUNBURY, OH
Past
November 11, 2002 - June 1, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
November 11, 2002 - April 23, 2024
OSAIC FA, INC.
BD
CRD#: 3978
COLUMBUS, OH
Past
January 25, 2002 - November 21, 2002
NEW ENGLAND SECURITIES
BD
CRD#: 615
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
Ohio(7/10/2024)
IAR
Ohio(7/11/2024)
Exams
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
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.
Company Information
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963Sunbury, OH 43074TRUST BUT VERIFY
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