Ronald L. Adams
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ronald Lee Adams, who also goes by Ron Adams, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1980. Ronald had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2015 - August 31, 2017
MONEY CONCEPTS CAPITAL CORP
February 18, 2015 - August 31, 2017
MONEY CONCEPTS CAPITAL CORP
November 20, 2008 - February 7, 2014
EQUITABLE ADVISORS, LLC
November 20, 2008 - February 7, 2014
EQUITABLE ADVISORS, LLC
April 4, 2006 - October 20, 2008
MSI FINANCIAL SERVICES, INC.
December 19, 2002 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
December 19, 2002 - October 20, 2008
MSI FINANCIAL SERVICES, INC.
April 12, 2002 - June 26, 2002
TRANSAMERICA FINANCIAL ADVISORS, INC.
January 26, 1999 - March 6, 2002
TRANSAMERICA FINANCIAL ADVISORS, INC.
December 7, 1998 - January 4, 1999
TRANSAMERICA SECURITIES SALES CORPORATION
June 1, 1995 - October 15, 1998
JOHN HANCOCK DISTRIBUTORS LLC
February 1, 1991 - June 3, 1993
EQUITABLE ADVISORS, LLC
January 18, 1991 - June 3, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 12, 1990 - December 31, 1990
MUTUAL SERVICE CORPORATION
December 21, 1989 - March 22, 1991
IDS LIFE INSURANCE COMPANY
December 21, 1989 - March 22, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
December 15, 1980 - October 17, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
Primary Firm SEC Registration
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
Contact information
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.
