FD
Frank T. Dunn
CONCORDE ASSET MANAGEMENT
The Woodlands, TX
Some features on this profile are disabled
CRD#: 1075960
FD
Professional summary
Frank Timothy Dunn JR, who also goes by Frank T Dunn, Frank Timothy Dunn, is a registered financial advisor currently at CONCORDE ASSET MANAGEMENT, LLC located in The Woodlands, Texas and CONCORDE INVESTMENT SERVICES, LLC located in Ann Arbor, Michigan.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Frank has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Frank T Dunn | Frank Timothy Dunn
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.
1) Capstone Financial Consultants, Investment related, DBA for securities related activities, The Woodlands, TX. Owner/Registered Rep. Full time during trading hours. 2) FRANK DUNN, CPA. PROVIDING CPA SERVICES INCLUDING TAX PREPARATION. LOCATED IN THE THE WOODLANDS, TX. NON-INVESTMENT RELATED. APPROX 1-5 HOURS/MONTH DURING BUSINESS HOURS, 1-5 HOURS/MONTH DURING NON-BUSINESS HOURS. STARTED DEC 2009. 3) Concorde Asset Management, Investment related, The Woodlands, TX., Investment Advisor Representative, Investment Advisory Sales and Service. 1-5 hours/week during trading hours. 4) Capstone Financial Consultants LLC Investment Adviser, The Woodlands, TX. Investment Related. Owner, investment advisory services. 6-10 hrs/mo outside business hours, 1-5 hrs/mo during business hours. 5) Mary's Call LLC. Non-investment related. The Woodlands, TX. Disseminate religious information, member. 1-5 hours/month during business hours, 1-5 hours/month during non-business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Frank Timothy Dunn JR'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
May 25, 2018 - Present
CONCORDE ASSET MANAGEMENT, LLC
RIA
CRD#: 140367
The Woodlands, TX
Current
October 14, 2010 - Present
CONCORDE INVESTMENT SERVICES, LLC
Office #1: 3909 Research Park Drive Suite 200, Ann Arbor, MI 48108BD
CRD#: 151604
Ann Arbor, MI
Past
May 26, 2010 - October 12, 2010
STEVEN L. FALK & ASSOCIATES INC.
BD
CRD#: 14297
LAS VEGAS, NV
Past
December 11, 2008 - April 27, 2010
PRIVATE ASSET GROUP, INC.
BD
CRD#: 142541
THE WOODLANDS, TX
Past
April 2, 2007 - December 11, 2008
EPLANNING SECURITIES, INC.
BD
CRD#: 46000
LAKE OSWEGO, OR
Past
August 27, 2003 - April 3, 2007
WAVELAND CAPITAL PARTNERS LLC
BD
CRD#: 40054
HILLSBORO, OR
Past
March 31, 1993 - April 19, 1994
AMERICAN INTERSTATE FINANCIAL CORPORATION
BD
CRD#: 10552
PORTLAND, OR
Past
January 19, 1983 - April 1, 1992
DUNN SECURITIES CORPORATION
BD
CRD#: 10858
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".
CA
CONCORDE ASSET MANAGEMENT, LLC
CONCORDE ASSET MANAGEMENT LLC | CONCORDE ASSET MANAGEMENT, LLC
CRD#: 140367 / SEC#: 801-74519
RIA
Registered Investment Advisory firm - (4/19/2012 Approved)California
Registered Investment Advisory firm - (11/28/2012 Terminated)Colorado
Registered Investment Advisory firm - (11/29/2012 Terminated)Illinois
Registered Investment Advisory firm - (4/19/2012 Terminated)Indiana
Registered Investment Advisory firm - (11/5/2012 Terminated)Kansas
Registered Investment Advisory firm - (11/5/2012 Terminated)Michigan
Registered Investment Advisory firm - (11/27/2012 Terminated)Missouri
Registered Investment Advisory firm - (11/5/2012 Terminated)Ohio
Registered Investment Advisory firm - (11/7/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/7/2012 Terminated)Texas
Registered Investment Advisory firm - (11/5/2012 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(10/14/2010)
IAR
California(5/25/2018)
RR
Colorado(6/23/2011)
IAR
Colorado(5/13/2019)
RR
Florida(5/21/2021)
RR
Idaho(1/11/2011)
IAR
Idaho(11/21/2023)
RR
Montana(1/20/2011)
RR
Nevada(11/18/2010)
RR
New Jersey(11/30/2010)
RR
New York(10/14/2010)
RR
Oregon(11/17/2010)
IAR
Oregon(5/29/2018)
RR
Texas(11/9/2010)
IAR
Texas(5/25/2018)
RR
Washington(11/9/2010)
IAR
Washington(11/20/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CONCORDE ASSET MANAGEMENT, LLC
CONCORDE ASSET MANAGEMENT LLC | CONCORDE ASSET MANAGEMENT, LLC
CRD#: 140367 / SEC#: 801-74519
RIA
Registered Investment Advisory firm - (4/19/2012 Approved)California
Registered Investment Advisory firm - (11/28/2012 Terminated)Colorado
Registered Investment Advisory firm - (11/29/2012 Terminated)Illinois
Registered Investment Advisory firm - (4/19/2012 Terminated)Indiana
Registered Investment Advisory firm - (11/5/2012 Terminated)Kansas
Registered Investment Advisory firm - (11/5/2012 Terminated)Michigan
Registered Investment Advisory firm - (11/27/2012 Terminated)Missouri
Registered Investment Advisory firm - (11/5/2012 Terminated)Ohio
Registered Investment Advisory firm - (11/7/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/7/2012 Terminated)Texas
Registered Investment Advisory firm - (11/5/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3909 Research Park Drive Suite 200, Ann Arbor, MI 48108
Mailing Address
Phone number
(248) 824-6710
Established
Firm type
Fiscal year end
# of Employees
79
SEC notice filing (48 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,207 |
| AUM (Assets Under Management) | $ 489,858,232 |
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.
