James F. Crawford

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CRD#: 1327638

Professional summary

James Fillmore Crawford was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James Fillmore Crawford, who also goes by James F Crawford, James Fillmore Crawford Jr, Jim Crawford, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1988. James had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James F Crawford | James Fillmore Crawford Jr | Jim Crawford

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 8, 2015 - December 31, 2015

CONCORDE ASSET MANAGEMENT, LLC

RIA

CRD#: 140367

HARRISONBURG, VA

Past

January 5, 2015 - July 1, 2016

CONCORDE INVESTMENT SERVICES, LLC

CRD#: 151604

Harrisonburg, VA

Past

January 7, 2014 - January 8, 2015

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

HARRISONNBURG, VA

Past

March 19, 2012 - December 31, 2014

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

HARRISONNBURG, VA

Past

February 2, 2012 - January 7, 2014

MORSE CAPITAL PARTNERS, LLC

RIA

CRD#: 146383

RICHMOND, VA

Past

January 9, 2012 - March 30, 2012

CENTAURUS FINANCIAL, INC.

CRD#: 30833

HARRISONBURG, VA

Past

October 25, 2005 - December 31, 2011

PACIFIC WEST FINANCIAL CONSULTANTS INC

RIA

CRD#: 108728

BRIDGEWATER, VA

Past

July 1, 2005 - December 31, 2011

PACIFIC WEST SECURITIES, INC.

CRD#: 6390

HARRISONBURG, VA

Past

March 14, 2000 - July 18, 2005

LPL FINANCIAL LLC

RIA

CRD#: 6413

HARRISONBURG, VA

Past

June 16, 1999 - July 18, 2005

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

February 26, 1988 - July 13, 1999

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/6/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/7/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/1/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/4/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/25/1988

Investment Company Products/Variable Contracts Representative Examination

Current Firm

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)

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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

SEC notice filing (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV WRAP FEE BROCHURE (3/31/2025)

ADV PART 2 BROCHURE (3/31/2025)

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.

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Advisor Monitoring

Firm Stability Insights

James F. Crawford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CONCORDE INVESTMENT SERVICES, LLC

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

MORSE CAPITAL PARTNERS, LLC

CENTAURUS FINANCIAL, INC.

PACIFIC WEST FINANCIAL CONSULTANTS INC

PACIFIC WEST SECURITIES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

CONCORDE ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/6/2000

Series 63

Date: 6/7/1988

SIE

Date: 7/1/2016

Series 7

Date: 6/4/2001

Series 6

Date: 2/25/1988

Current Firm

CONCORDE ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONCORDE ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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