John M. Sorrell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Michael Sorrell was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2022 - June 26, 2023
CONCORDE INVESTMENT SERVICES, LLC
June 1, 2016 - January 14, 2022
BLUEROCK CAPITAL MARKETS LLC
July 19, 2010 - May 23, 2016
FS INVESTMENT SOLUTIONS, LLC
August 2, 2004 - December 31, 2005
DIVIDEND CAPITAL INVESTMENTS LLC
November 5, 2003 - July 19, 2010
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
April 21, 2003 - August 8, 2003
DWS INVESTMENT MANAGEMENT AMERICAS, INC.
July 26, 2000 - August 8, 2003
DWS DISTRIBUTORS, INC.
May 18, 2000 - June 30, 2000
ALLIANCEBERNSTEIN INVESTMENTS, INC.
May 28, 1997 - May 9, 2000
DWS DISTRIBUTORS, INC.
January 1, 1996 - April 8, 1997
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
April 28, 1995 - June 22, 1995
CALVERT INVESTMENT DISTRIBUTORS, INC.
April 23, 1985 - May 5, 1995
THE ADVISORS GROUP, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CONCORDE INVESTMENT SERVICES, LLC
CRD#: 151604 / SEC#: , 8-68388
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONCORDE HOLDINGS INC. | OWNER / MANAGING MEMBER | |
| ARNOLD, AMY PERRYMAN | CHIEF DUE DILIGENCE OFFICER | 3037672 |
| DELONGCHAMP, DANIELLE LEIGH | PRESIDENT AND CHIEF EXECUTIVE 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 |
| LOBERG, NICHOLAS | DIRECTOR OF BROKERAGE OPERATIONS | 6778518 |
| MCMURRY, KEITH | CHIEF OPERATIONS OFFICER | 5647966 |
| STACEY, JENNIFER LEIGH | CHIEF COMPLIANCE OFFICER | 2536581 |
| WOOLSON, NICOLE RENEE | DIRECTOR OF COMPLIANCE | 3143232 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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