LF
Lisa D. Ford
MONEY CONCEPTS CAPITAL CORP
Dallas, TX 75243
Some features on this profile are disabled
CRD#: 5367488
LF
Professional summary
Lisa Dionne Ford, who also goes by Lisa Dionne Bennett, Lisa Dionne Lumpkin, Lisa D Randle, Lisa Dionne Randle, is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in Dallas, Texas.
Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Lisa has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lisa Dionne Bennett | Lisa Dionne Lumpkin | Lisa D Randle | Lisa Dionne Randle
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. L RANDLE ENTERPRISES, NON-INVESTMENT RELATED. CONSULTING SMALL BUSINESS TO INCREASE CREDIT & SALE. MANAGER-CONSULTING. 01/2000 TO PRESENT.12 HRS MO. ZERO HOURS DURING SECURITIES TRADING HOURS. MANAGER. 2. INSURANCE SALES. NON-INVESTEMENT RELATED. AS OF DATE 01/2000. SALES OF HEALTH, MEDICARE ADVANTAGE+SUPPLEMENTAL INSURANCE. 32TOTAL HR/MO. 20 HR/MO DURING SECURITIES TRADING. 3. Ascend Financial Planning and Wealth Management LLC, 9330 LBJ Fwy Ste 900, Dallas, TX 75243. DBA for financial planning and wealth management services. Owner, Investment related, 40% time spent on activity during securities hrs. 4. on the BOD of US chapter IARFC, 146 North Breiel Blvd Middletown, OH 45042, Board Member, On the Board of Directors, Non-investment related, 1-20% time spent on activity during non-securities hrs 5. Secretary for Collin County Black Chamber of Commerce, Non-investment related, 1-10% time spent on activity during non-securities hrs. 6. Federal Benefits Academy, since 4/3/2025, Training and education to federal employees on their benefits. Non-investment related, 1-10% time spent on activity during non-securities hrs.
CRS (Client Relationship Summary) - RIA
Click below to view Lisa Dionne Ford's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lisa Dionne Ford'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
January 15, 2014 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 9330 Lbj Freeway Suite 900, Dallas, TX 75243RIA
BD
CRD#: 12963
Dallas, TX
Current
January 15, 2014 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 9330 Lbj Freeway Suite 900, Dallas, TX 75243RIA
BD
CRD#: 12963
Dallas, TX
Past
February 22, 2012 - December 31, 2013
GREAT NATION INVESTMENT CORPORATION
RIA
CRD#: 19981
RICHARDSON, TX
Past
February 22, 2012 - December 31, 2013
GREAT NATION INVESTMENT CORPORATION
BD
CRD#: 19981
AMARILLO, TX
Past
June 19, 2009 - February 9, 2012
WADDELL & REED
RIA
CRD#: 866
DALLAS, TX
Past
June 19, 2009 - February 9, 2012
WADDELL & REED
BD
CRD#: 866
DALLAS, TX
Past
January 7, 2008 - February 19, 2009
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
RICHARDSON, TX
Past
November 30, 2007 - February 19, 2009
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
RICHARDSON, TX
Past
November 15, 2007 - January 3, 2008
UNITED EQUITY SECURITIES, LLC
RIA
CRD#: 47261
HOUSTON, TX
Past
November 15, 2007 - January 3, 2008
UNITED EQUITY SECURITIES, LLC
BD
CRD#: 47261
HUSTON, 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
District of Columbia(7/29/2019)
RR
Georgia(2/20/2018)
RR
Ohio(7/26/2018)
RR
Oklahoma(11/24/2014)
RR
Texas(1/15/2014)
IAR
Texas(1/15/2014)
Exams
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.
Company Information
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963Dallas, TX 75243TRUST BUT VERIFY
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