BM
Brian S. Mccleskey
MONEY CONCEPTS CAPITAL CORP
Williamsburg, VA 23188
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CRD#: 4638333
BM
Professional summary
Brian Scott Mccleskey is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in Williamsburg, Virginia and WIN ADVISORS, INC located in Williamsburg, Virginia.
Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Brian has worked at 7 firms and has passed the Series 65, Series 66 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. GWN Securities, 1140 N Jog Road Palm Beach Gardens, FL 33418. Sub Advisor, Consultant,provide asset allocation models. Investment related, 1-20% time spent on activity during securities hrs.
2. Money Concepts Capital Corp, employee, Investment related, 1-20% time spent on activity during securities hrs.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Scott Mccleskey'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
April 14, 2015 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 5388 Discovery Park Blvd Suite 225, Williamsburg, VA 23188Office #2: 11440 North Jog Road, Palm Beach Gardens, FL 33418-3764RIA
BD
CRD#: 12963
Williamsburg, VA
Current
June 17, 2019 - Present
WIN ADVISORS, INC
Office #1: 5388 Discovery Park Blvd #225, Williamsburg, VA 23188RIA
CRD#: 300351
Williamsburg, VA
Past
April 30, 2013 - January 16, 2015
CHESAPEAKE WEALTH MANAGEMENT
RIA
CRD#: 108039
WILLIAMSBURG, VA
Past
June 1, 2008 - April 29, 2013
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
WILLIAMSBURG, VA
Past
June 1, 2008 - April 29, 2013
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
WILLIAMSBURG, VA
Past
February 12, 2008 - June 1, 2008
BI INVESTMENTS, LLC
RIA
CRD#: 125437
GLEN ALLEN, VA
Past
January 24, 2008 - June 1, 2008
BI INVESTMENTS, LLC
BD
CRD#: 125437
GLEN ALLEN, VA
Past
August 20, 2003 - October 2, 2003
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 20, 2003 - October 2, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
July 8, 2003 - October 2, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
VIRGINIA BEACH, VA
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.Highlighted states indicate IAR registrations
IAR
Virginia(4/14/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
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.
