Ernest E. Zito
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ernest Edward Zito, who also goes by Ernest E Zito, was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 1970. Ernest had worked at 9 firms and has passed the Series 7TO, SIE, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2018 - October 12, 2023
MONEY CONCEPTS CAPITAL CORP
August 23, 2018 - October 12, 2023
MONEY CONCEPTS CAPITAL CORP
February 19, 2018 - August 28, 2018
SB ADVISORY, LLC
January 17, 2018 - August 28, 2018
IFS SECURITIES
November 4, 2008 - January 24, 2018
INVEST FINANCIAL CORPORATION
November 4, 2008 - January 24, 2018
INVEST FINANCIAL CORPORATION
March 6, 2007 - November 20, 2008
FSC SECURITIES CORPORATION
March 5, 2007 - November 20, 2008
FSC SECURITIES CORPORATION
September 21, 1999 - March 5, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
September 21, 1999 - July 3, 2006
IDS LIFE INSURANCE COMPANY
September 21, 1999 - March 5, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
February 18, 1982 - September 27, 1999
PRUCO SECURITIES, LLC.
February 19, 1970 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
Primary Firm SEC Registration
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 2/11/1970
Registered Representative ExaminationCurrent Firm
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
Contact information
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.
