Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Douglas Gann is an investment advisor representative at Concorde Asset Management, LLC. Richard has been in the securities industry for over 18 years, and holds both Series 6 and Series 7 licenses, along with Series 24, Series 63, and Series 65. He is a registered representative with the Financial Industry Regulatory Authority (FINRA) and a registered investment advisor representative with the Securities and Exchange Commission (SEC). Richard's previous employment experience includes roles at DFPG Investments, LLC, Stira Capital Markets Group, LLC, Stonnington Group, LLC, Steadfast Capital Markets Group, LLC, KBS Capital Markets Group LLC, Grubb & Ellis Securities, Inc., Linsco/Private Ledger Corp., Tower Square Securities, Inc., and CitiCorp Investment Services. Richard has a diverse background in the financial services industry, with experience in investment sales, advisory services, and portfolio management. Richard specializes in providing investment advice to a wide range of clients, including high-net-worth individuals, corporations, and charitable organizations. Richard is dedicated to providing his clients with personalized financial advice and guidance to help them achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Promoter fees from other advisors
1
2
MI
05/12/2020 - Present
Concorde Asset Management, LLC (ANN ARBOR MI)
OR
07/01/2019 - 05/04/2020
DFPG INVESTMENTS, LLC (Lake Oswego OR)
CA
01/09/2019 - 03/06/2019
STIRA CAPITAL MARKETS GROUP, LLC (IRVINE CA)
CA
10/03/2016 - 03/09/2017
STONNINGTON GROUP, LLC (SAN CLEMENTE CA)
CA
11/30/2011 - 06/20/2016
STEADFAST CAPITAL MARKETS GROUP, LLC (IRVINE CA)
CA
02/18/2010 - 11/21/2011
KBS CAPITAL MARKETS GROUP LLC (NEWPORT BEACH CA)
CA
01/05/2007 - 03/17/2010
GRUBB & ELLIS SECURITIES, INC. (SANTA ANA CA)
CA
07/10/2006 - 01/04/2007
LINSCO/PRIVATE LEDGER CORP. (OCEANSIDE CA)
CA
01/17/2006 - 07/25/2006
TOWER SQUARE SECURITIES, INC. (OCEANSIDE CA)
NY
08/18/2004 - 12/21/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
MI
02/19/2003 - 08/27/2004
SAMMONS SECURITIES COMPANY, LLC (ANN ARBOR MI)
IA
Issued 07/16/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/18/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/02/2007
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 03/09/2017
SIE - Securities Industry Essentials Examination
BC
Issued 09/11/2004
Series 7 - General Securities Representative Examination
BC
Issued 02/18/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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