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Investment Adviser Firm Summary
CONCORDE ASSET MANAGEMENT, LLC ( CRD # 140367/SEC#:801-74519 )
CONCORDE ASSET MANAGEMENT LLC, CONCORDE ASSET MANAGEMENT, LLC
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved4/19/2012
CaliforniaTerminated11/28/2012
ColoradoTerminated11/29/2012
IllinoisTerminated4/19/2012
IndianaTerminated11/5/2012
KansasTerminated11/5/2012
MichiganTerminated11/27/2012
MissouriTerminated11/5/2012
OhioTerminated11/7/2012
PennsylvaniaTerminated11/7/2012
TexasTerminated11/5/2012
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.

JURISDICTIONEFFECTIVE DATE
Alabama5/8/2015
Alaska11/27/2013
Arizona5/29/2015
Arkansas11/27/2013
California1/13/2012
Colorado7/2/2013
Connecticut1/4/2013
Delaware1/31/2019
District of Columbia1/15/2013
Florida10/30/2012
Georgia4/19/2012
Hawaii6/28/2013
Idaho10/31/2018
Illinois4/19/2012
Indiana4/19/2012
Iowa5/16/2012
Kansas4/19/2012
Kentucky4/19/2012
Maine3/1/2017
Maryland1/15/2013
Massachusetts11/30/2012
Michigan4/19/2012
Minnesota10/26/2012
Missouri4/19/2012
Montana3/12/2019
Nebraska2/4/2013
Nevada6/28/2013
New Hampshire1/28/2015
New Jersey6/18/2012
New Mexico10/16/2018
New York3/1/2017
North Carolina10/26/2012
North Dakota6/15/2016
Ohio4/19/2012
Oklahoma4/19/2012
Oregon4/19/2012
Pennsylvania4/19/2012
Rhode Island1/15/2013
South Carolina8/1/2014
South Dakota3/15/2013
Tennessee4/19/2012
Texas4/19/2012
Utah1/31/2019
Vermont4/8/2020
Virginia1/25/2013
Washington4/19/2012
Wisconsin8/24/2012
Wyoming3/23/2023
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
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.