Kathleen Ann Hofer
Professional Summary
Kathleen Ann Hofer, who also goes by Kathleen A Hofer, Kathleen Ann Manz, is a registered financial advisor currently at CONCORDE INVESTMENT SERVICES, LLC located in Ann Arbor, Michigan. Kathleen is registered as a RR (Registered Representative) and started their career in finance in 1997. Kathleen has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 28 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kathleen A Hofer, Kathleen Ann Manz
Similar Advisors
RBC CAPITAL MARKETS, LLC
OSAIC WEALTH, INC.
EDWARD JONES
AMERIPRISE FINANCIAL SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
RBC CAPITAL MARKETS, LLC
OSAIC WEALTH, INC.
EDWARD JONES
AMERIPRISE FINANCIAL SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
RBC CAPITAL MARKETS, LLC
OSAIC WEALTH, INC.
EDWARD JONES
AMERIPRISE FINANCIAL SERVICES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
RBC CAPITAL MARKETS, LLC
OSAIC WEALTH, INC.
EDWARD JONES
AMERIPRISE FINANCIAL SERVICES, LLC
Years of Experience
29 years in the financial services industry
Current & Past Employments
Similar Advisors
RBC CAPITAL MARKETS, LLC
OSAIC WEALTH, INC.
EDWARD JONES
AMERIPRISE FINANCIAL SERVICES, LLC
Current Firm
CONCORDE INVESTMENT SERVICES, LLC
Contact Information
Main Address
3909 Research Park Drive Suite 200, Ann Arbor, MI 48108Mailing Address
3909 Research Park Drive Suite 200, Ann Arbor, MI 48108Phone Number
(248) 824-6710Established
Michigan since 07/10/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONCORDE HOLDINGS INC. | OWNER / MANAGING MEMBER | — |
| DELONGCHAMP, DANIELLE LEIGH | PRESIDENT, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER | 4901901 |
| GAKENHEIMER, JOHN HERBERT | REGISTERED OPTIONS PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL | 810171 |
| HOFER, KATHLEEN ANN | FINOP, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1087639 |
| MORELL, MARC ANTHONY | CHIEF COMPLIANCE OFFICER | 2566724 |
Disclosures
Regulatory Event
4Similar Advisors
RBC CAPITAL MARKETS, LLC
OSAIC WEALTH, INC.
EDWARD JONES
AMERIPRISE FINANCIAL SERVICES, LLC
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.
The advisor shows no other business activity.
Similar Advisors
RBC CAPITAL MARKETS, LLC
OSAIC WEALTH, INC.
EDWARD JONES
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
(3/1/2016)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Apr 1997About the Series 28 examSRO Registrations
Similar Advisors
RBC CAPITAL MARKETS, LLC
OSAIC WEALTH, INC.
EDWARD JONES
AMERIPRISE FINANCIAL SERVICES, LLC
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Ann Hofer's CRS (Customer Relationship Summary).
Similar Advisors
RBC CAPITAL MARKETS, LLC
OSAIC WEALTH, INC.
EDWARD JONES
AMERIPRISE FINANCIAL SERVICES, LLC
