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Investment Adviser Firm Summary

CONCORDE ASSET MANAGEMENT, LLC (CRD# 140367 / SEC# 801-74519)
Alternate Names: CONCORDE ASSET MANAGEMENT LLC , CONCORDE ASSET MANAGEMENT, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/19/2012
California Terminated 11/28/2012
Colorado Terminated 11/29/2012
Illinois Terminated 04/19/2012
Indiana Terminated 11/05/2012
Kansas Terminated 11/05/2012
Michigan Terminated 11/27/2012
Missouri Terminated 11/05/2012
Ohio Terminated 11/07/2012
Pennsylvania Terminated 11/07/2012
Texas Terminated 11/05/2012

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 05/08/2015
Alaska 11/27/2013
Arizona 05/29/2015
Arkansas 11/27/2013
California 01/13/2012
Colorado 07/02/2013
Connecticut 01/04/2013
District of Columbia 01/15/2013
Florida 10/30/2012
Georgia 04/19/2012
Hawaii 06/28/2013
Illinois 04/19/2012
Indiana 04/19/2012
Iowa 05/16/2012
Kansas 04/19/2012
Kentucky 04/19/2012
Maine 03/01/2017
Maryland 01/15/2013
Massachusetts 11/30/2012
Michigan 04/19/2012
Minnesota 10/26/2012
Missouri 04/19/2012
Nebraska 02/04/2013
Nevada 06/28/2013
New Hampshire 01/28/2015
New Jersey 06/18/2012
New York 03/01/2017
North Carolina 10/26/2012
North Dakota 06/15/2016
Ohio 04/19/2012
Oklahoma 04/19/2012
Oregon 04/19/2012
Pennsylvania 04/19/2012
Rhode Island 01/15/2013
South Carolina 08/01/2014
South Dakota 03/15/2013
Tennessee 04/19/2012
Texas 04/19/2012
Virginia 01/25/2013
Washington 04/19/2012
Wisconsin 08/24/2012

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser