DK
David R. Kern
CONCORDE ASSET MANAGEMENT
Huntertown, IN
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CRD#: 1210234
DK
Professional summary
David Robert Kern, who also goes by Dave R Kern, is a registered financial advisor currently at CONCORDE ASSET MANAGEMENT, LLC located in Huntertown, Indiana and CONCORDE INVESTMENT SERVICES, LLC located in Huntertown, Indiana.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. David has worked at 8 firms and has passed the Series 63, SIE, Series 22, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave R Kern
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) Advantage Financial Planning. Investment Related. Investment Allocations And Insurance Sales. President And Owner. 16616 Lima Rd. Huntertown, IN 46748. Full Time During Trading Hours. 2) Concorde Asset Management. Investment Advisor Representative. Start Date: December 2014. Huntertown, IN. Investment Related. Full Time. 3) The Flying Circuits, Not Investment Related, remote control flying club, New Haven, IN, Member. 1-5 hrs/month during trading hours. 6-10 hours/month outside of business hours. 4) Concorde Insurance Agency; Huntertown, IN. Insurance Agent; provide insurance services to clients when appropriate. No client conflict. 5) D.R. Kern Research, Huntertown. IN. Investment Related. President, research investment advisors and third party money managers for existing and potential clients. 1-5 hours/mo outside business hours, 1-5 hours/month during business hours. 6) David R. Kern Asset Management, Huntertown, IN. President; Inactive DBA for advisory and insurance business. 1-5 hours/mo outside business hours, 1-5 hours/month during business hours.
CRS (Client Relationship Summary) - RIA
Click below to view David Robert Kern'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
December 17, 2014 - Present
CONCORDE ASSET MANAGEMENT, LLC
RIA
CRD#: 140367
Huntertown, IN
Current
August 17, 2011 - Present
CONCORDE INVESTMENT SERVICES, LLC
BD
CRD#: 151604
Huntertown, IN
Past
January 26, 2012 - May 21, 2012
DAVID R. KERN ASSET MANAGEMENT
RIA
CRD#: 115364
HUNTERTOWN, IN
Past
March 16, 2005 - December 31, 2008
DAVID R. KERN ASSET MANAGEMENT
RIA
CRD#: 115364
HUNTERTOWN, IN
Past
January 17, 2002 - August 17, 2011
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
HUNTERTOWN, IN
Past
January 14, 1999 - July 2, 2003
ATLAS CAPITAL MANAGEMENT CORP
RIA
CRD#: 106107
FORT WAYNE, IN
Past
November 24, 1998 - December 31, 2004
DAVID R. KERN ASSET MANAGEMENT
RIA
CRD#: 115364
FORT WAYNE, IN
Past
April 23, 1997 - January 29, 2002
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
December 10, 1990 - May 13, 1997
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
March 14, 1990 - December 15, 1990
RELIASTAR FINANCIAL MARKETING CORP.
BD
CRD#: 4234
SEATTLE, WA
Past
November 18, 1983 - March 3, 1990
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
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(8/17/2011)
IAR
California(11/27/2019)
RR
Illinois(8/17/2011)
IAR
Illinois(2/12/2020)
RR
Indiana(8/17/2011)
IAR
Indiana(12/17/2014)
RR
New York(8/17/2011)
IAR
New York(1/17/2024)
RR
North Carolina(8/17/2011)
RR
Ohio(8/17/2011)
RR
South Carolina(1/3/2019)
Exams
State Security Law Exam
General Industry/Product 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.
