Carlos Valadez
MONEY CONCEPTS CAPITAL CORP
San Antonio, TX 78229
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CRD#: 5102091
Professional summary
Carlos Valadez Jr., CFP®, who also goes by Carlos Valadez Jr., Carlos Valadez, is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in San Antonio, Texas.
Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Carlos has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carlos Valadez Jr. | Carlos Valadez
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. Valadez Enterprises, LLC., since 4/1/2023 Owner, CPA, Bookkeeper, Non-investment related, 1-10% time spent on activity during non-securities hrs. 2. Valadez Financial Planning & Wealth Management, LLC since 2/14/2022, Owner, DBA, Non-investment related, 60% time spent on activity during non-securities hrs.
CRS (Client Relationship Summary) - RIA
Click below to view Carlos Valadez Jr.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carlos Valadez Jr.'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®
CFP®
Start date: 2010
Experience
Current
February 14, 2022 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 4801 Nw Loop 410 Suite 302, San Antonio, TX 78229RIA
BD
CRD#: 12963
San Antonio, TX
Current
February 14, 2022 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 4801 Nw Loop 410 Suite 302, San Antonio, TX 78229RIA
BD
CRD#: 12963
San Antonio, TX
Past
October 14, 2020 - January 27, 2022
OSAIC WEALTH, INC.
BD
CRD#: 23131
SAN ANTONIO, TX
Past
June 22, 2020 - September 29, 2020
VICTORY CAPITAL SERVICES, INC.
BD
CRD#: 37059
San Antonio, TX
Past
June 18, 2020 - September 29, 2020
VICTORY CAPITAL MANAGEMENT INC.
RIA
CRD#: 106189
SAN ANTONIO, TX
Past
July 1, 2019 - December 23, 2019
VICTORY CAPITAL SERVICES, INC.
BD
CRD#: 37059
San Antonio, TX
Past
January 8, 2018 - July 3, 2019
USAA INVESTMENT SERVICES COMPANY
RIA
CRD#: 5475
SAN ANTONIO, TX
Past
January 12, 2009 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
San Antonio, TX
Past
February 11, 2008 - July 1, 2019
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
SAN ANTONIO, TX
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
Arizona(8/10/2022)
RR
Texas(2/14/2022)
IAR
Texas(2/14/2022)
Exams
State Security Law Exam
State Security Law 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.
