Stephen L. Shloss
MONEY CONCEPTS CAPITAL CORP
Mission Viejo, CA 92691
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CRD#: 5429813
Professional summary
Stephen Laurence Shloss, CFP® is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in Mission Viejo, California.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Stephen has worked at 4 firms and has passed the Series 66, SIE 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) START DATE 02/2011, PRESIDENT OF CASTLE FINANCIAL. MY DUTIES INCLUDE SALES OF HEALTH INSURANCE, Non-investment related, 1-10% time spent on activity during securities hrs.. (2) START DATE 07/1997, REAL ESTATE BROKER FOR CASTLE REAL ESTATE GROUP (REGENCY REAL ESTATE BROKERS INC). MY DUTIES INCLUDE REAL ESTATE LISTINGS, AND SALES OF RESIDENTIAL & COMMERCIAL PROPERTY, Non-investment related, 20% time spent on activity during non-securities hrs.. (3) START DATE 03/2017, I'M THE PRESIDENT OF CASTLE GROUP HOLDINGS, INC. ,THIS CORPORATION WAS SET UP FOR BUSINESS TAX FILING PURPOSES ONLY, Non-investment related, 1-10% time spent on activity during non-securities hrs.. (4) START DATE 12/2021 I DO NOT DEVOTE ANY TIME AS SHARE HOLDER OF REGENCY REAL ESTATE BROKERS INC.; I HAVE NO DUTIES FOR THIS REAL ESTATE BROKERAGE. BUSINESS LOCATION FOR ALL ABOVE IS THE SAME AS BRANCH, Non-investment related, 0% time spent on activity during non-securities hrs. 2. On Mission Tax Pros, since 4/1/2024, CPA, Tax Preparation, Non-investment related, 1-10% time spent on activity during non-securities hrs. 3. Non Profit Org Treasure, since 10/1/2024, 24821 Chrisanta Drive, Misson Viejo, CA 92691. Charity, Non-investment related, 1-10% time spent on activity during non-securities hrs.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Laurence Shloss's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Laurence Shloss'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: 2012
Experience
Current
November 8, 2023 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 25950 Acero Ste. 100, Mission Viejo, CA 92691RIA
BD
CRD#: 12963
Mission Viejo, CA
Current
November 8, 2023 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 25950 Acero Ste. 100, Mission Viejo, CA 92691RIA
BD
CRD#: 12963
Mission Viejo, CA
Past
June 8, 2017 - November 16, 2023
CROWN CAPITAL SECURITIES, L.P.
RIA
CRD#: 6312
MISSION VIEJO, CA
Past
June 8, 2017 - November 16, 2023
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
MISSION VIEJO, CA
Past
February 2, 2011 - June 8, 2017
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
IRVINE, CA
Past
February 1, 2011 - June 8, 2017
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
IRVINE, CA
Past
November 29, 2007 - February 7, 2011
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
IRVINE, CA
Past
November 26, 2007 - February 7, 2011
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
IRVINE, CA
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(11/8/2023)
RR
California(11/8/2023)
IAR
California(11/8/2023)
RR
Oregon(11/8/2023)
RR
South Carolina(11/13/2023)
RR
Tennessee(11/8/2023)
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.
