DG
Debra F. Grauel
MONEY CONCEPTS CAPITAL CORP
Cincinnati, OH
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CRD#: 4532575
DG
Professional summary
Debra Fain Grauel, who also goes by Debra Grauel, is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in Cincinnati, Ohio.
Debra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Debra has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Debra Grauel
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) NAME OF OTHER BUSINESS: OHIO WEALTH AND RETIREMENT PLANNING, INC., INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA START DATE:8/2005 POSITION/TITLE/RELATIONSHIP: PRESIDENT. TOTAL NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 40. 2)NAME OF OTHER BUSINESS: PARADISE PARCEL F HOMEOWNERS ASSOCIATION, MANASSAS, VA; INVESTMENT RELATED: NO; ADDRESS: 7900 SUDLEY RD, MANASSAS, VA 20109; NATURE OF BUSINESS: HOMEOWNERS ASSOCIATION;START DATE: 5/2022 POSITION: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: VOTE ON ISSUES BEFORE BOARD, ASSIST IN ANNUAL WALK-THROUGH OF NEIGHBORHOOD TO ENSURE COMPLIANCE WITH ASSOCIATION RULES
CRS (Client Relationship Summary) - RIA
Click below to view Debra Fain Grauel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Debra Fain Grauel'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 28, 2023 - Present
MONEY CONCEPTS CAPITAL CORP
RIA
BD
CRD#: 12963
Cincinnati, OH
Current
July 28, 2023 - Present
MONEY CONCEPTS CAPITAL CORP
RIA
BD
CRD#: 12963
Cincinnati, OH
Past
June 29, 2023 - July 28, 2023
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
FLORENCE, KY
Past
May 20, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
FLORENCE, KY
Past
September 20, 2019 - July 28, 2023
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
FLORENCE, KY
Past
October 6, 2005 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
FLORENCE, KY
Past
September 22, 2005 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
FLORENCE, KY
Past
January 2, 2003 - August 29, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
CINCINNATI, OH
Past
July 8, 2002 - August 29, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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
Colorado(8/7/2023)
RR
Florida(8/7/2023)
RR
Indiana(8/7/2023)
RR
Kentucky(8/7/2023)
RR
Nevada(8/7/2023)
RR
Ohio(7/28/2023)
IAR
Ohio(7/28/2023)
RR
Oregon(8/7/2023)
RR
Virginia(8/7/2023)
RR
Wisconsin(8/7/2023)
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
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.
