SD
Sean S. Devine
MONEY CONCEPTS CAPITAL CORP
Saint Peters, MO 63376
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CRD#: 5973802
SD
Professional summary
Sean Steven Devine is a registered financial professional currently at MONEY CONCEPTS CAPITAL CORP located in Saint Peters, Missouri.
Sean is registered as a RR (Registered Representative) and started their career in finance in 2011. Sean has worked at 5 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Sean Steven Devine'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 30, 2020 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 5600 Mexico Road Ste.1, Saint Peters, MO 63376Office #2: 323 Townepark Circle, Louisville, KY 40243Office #3: 11440 North Jog Road, Palm Beach Gardens, FL 33418-3764Office #4: 497 Route 304 Ste 2, New City, NY 10956-3030Office #5: 11440 Jog Road, Palm Beach Gardens, FL 33418Office #6: 11440 Jog Road, Palm Beach Gardens, FL 33418Office #8: 136 Rt. 101-a, Amherst, NH 03031Office #9: 75 Garden St., Wethersfield, CT 06109Office #10: 600 South Cherry St Suite 801, Denver, CO 80246RIA
BD
CRD#: 12963
Saint Peters, MO
Past
February 28, 2018 - July 14, 2020
ALLY INVEST SECURITIES LLC
BD
CRD#: 136131
FORT LAUDERDALE, FL
Past
April 26, 2017 - August 10, 2017
NYLIFE SECURITIES LLC
BD
CRD#: 5167
SUNRISE, FL
Past
August 9, 2016 - February 10, 2017
DAVID LERNER ASSOCIATES, INC.
BD
CRD#: 5397
BOCA RATON, FL
Past
October 18, 2011 - March 15, 2016
FMSBONDS, INC.
BD
CRD#: 7793
NORTH MIAMI BEACH, FL
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.
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
California(7/30/2020)
RR
Florida(7/30/2020)
RR
Illinois(7/30/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/5/2024
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963Saint Peters, MO 63376TRUST BUT VERIFY
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