TE
Travis P. Etheridge
MONEY CONCEPTS CAPITAL CORP
Centralia, IL 62801
Some features on this profile are disabled
CRD#: 5910679
TE
Professional summary
Travis Paul Etheridge, who also goes by Travis P Etheridge, Travis Paul Etheridge, is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in Centralia, Illinois.
Travis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Travis has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Travis P Etheridge | Travis Paul Etheridge
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. Owner of The Insurance Alliance, LLC an Insurance Agency that writes Commercial and Personal Lines Insurance Products in Centralia, IL since 05/01/2015. Spends 120 hours/month during trading hours. Not Investment Related 2. Owner of Venture Management, LLC Series 2 - Gaming DBA Hank's Lounge. Operates a Video Gaming Parlor in Centralia, IL since 09/29/2017. Oversees the business. Spends 8 hours/month outside trading hours. 3. Owner of Venture Management, LLC a real estate management company in Centralia, IL since 03/16/2017. Spends 2 hours/month outside of trading hours. Not investment related. 4. Casridge LLC, DBA Virtual Intelligence, Start Date 01/10/2022. owner, partner, Virtual Employee Services. Officer/Shareholder. CFO - Assist with Operations and vision of the company moving forward, 10 Total Hrs/Month during securities trading hours. Not investment related. 5. Venture Management, LLC Series 3, since 9/1/2023, Owner, since 9/1/2023, Rental Property, Non-investment related, 1-10% time spent on activity during securities hrs. 6. BR Gaming LLC. since 8/22/2024, 140 N. Commercial, Centralia, IL 62801. Gaming Lounge, Owner, Non-investment related, 1-10% time spent on activity during non-securities hrs.
CRS (Client Relationship Summary) - RIA
Click below to view Travis Paul Etheridge's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Travis Paul Etheridge'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
July 15, 2020 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 418 S Poplar St, Centralia, IL 62801RIA
BD
CRD#: 12963
Centralia, IL
Current
January 23, 2020 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 418 S Poplar St, Centralia, IL 62801RIA
BD
CRD#: 12963
Centralia, IL
Past
February 22, 2016 - December 31, 2019
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
Centralia, IL
Past
May 11, 2011 - May 4, 2015
COUNTRY CAPITAL MANAGEMENT COMPANY
BD
CRD#: 12060
CENTRALIA, IL
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
Illinois(1/23/2020)
IAR
Illinois(7/15/2020)
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.
