SB
Steven I. Balaban
CONCORDE ASSET MANAGEMENT
Elk Grove, CA
Some features on this profile are disabled
CRD#: 1380366
SB
Professional summary
Steven I Balaban, CFP®, who also goes by Steven I Balaban, is a registered financial advisor currently at CONCORDE ASSET MANAGEMENT, LLC located in Elk Grove, California and CONCORDE INVESTMENT SERVICES, LLC located in San Diego, California.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Steven has worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven I Balaban
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) CA INSURANCE AGENT OFFERING SALES OF LIFE INSURANCE AND LONG TERM CARE INSURANCE SINCE 2014. NON-INVESTMENT RELATED. TIME SPENT AS REQUIRED. BUSINESS CONDUCTED AT OFFICE ADDRESS OF RECORD. (2) DBA NAME "FINANCIAL DESIGNS" FOR SECURITIES AND ADVISORY SERVICES SINCE APRIL 2014. INVESTMENT RELATED. APPROXIMATELY 99% OF TIME SPENT. BUSINESS CONDUCTED AT OFFICE ADDRESS OF RECORD. (3) 1031 Capital Solutions. Investment related. Start date: August 18, 2025. Advisory service focused on DSTs. Position: Vice President. 100 East San Marcos Blvd, Suite 400, San Marcos, CA 92069. Helping investors selling investment properties retire from property management and defer taxes by exchanging into passive investments. 21-40 hours/week during non-trading hours. 1-5 hours/week during trading hours. (3) CONCORDE ASSET MANAGEMENT, LLC., 5057 Shoreham Place Suite 200, San Diego, CA, 92122. INVESTMENT RELATED, INVESTMENT ADVISOR REP OFFERING INVESTMENT ADVISORY SALES AND SERVICE. full time. 4) Concorde Insurance Agency, 5057 Shoreham Place Suite 200, San Diego, CA, 92122. Investment Related. Agent, Insurance Services. 1-5 hours/month during business hours, 1-5 hours/month outside business hours. 5) Westland Insurance. This is an insurance service firm that is investment related. It is located at: 5075 Shoreham Place Suite 200, San Diego, CA 92122. Roles include certified financial planner and registered independent adviser. Hours worked 1-5 hours during business hours and 1-5 hours during non-business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Steven I Balaban'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®
CFP®
Start date: 2003
Experience
Current
August 2, 2018 - Present
CONCORDE ASSET MANAGEMENT, LLC
Office #2: 5075 Shoreham Place Suite 230, San Diego, CA 92122RIA
CRD#: 140367
Elk Grove, CA
Current
August 1, 2018 - Present
CONCORDE INVESTMENT SERVICES, LLC
Office #1: 5075 Shoreham Place Suite 230, San Diego, CA 92122BD
CRD#: 151604
San Diego, CA
Past
April 24, 2014 - July 31, 2018
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
SAN DIEGO, CA
Past
April 18, 2014 - July 31, 2018
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
SAN DIEGO, CA
Past
July 7, 2006 - July 27, 2010
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
LA JOLLA, CA
Past
July 7, 2006 - July 27, 2010
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
LA JOLLA, CA
Past
July 8, 1997 - July 17, 2006
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
SAN DIEGO, CA
Past
July 31, 1993 - July 17, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SAN DIEGO, CA
Past
September 21, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
November 7, 1986 - September 24, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
July 23, 1985 - November 6, 1986
JHM, INC.
BD
CRD#: 7113
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
Arizona(8/24/2018)
IAR
Arizona(2/14/2019)
RR
California(8/1/2018)
IAR
California(8/2/2018)
IAR
Colorado(4/30/2025)
IAR
Connecticut(9/18/2020)
RR
Florida(8/24/2018)
IAR
Florida(5/3/2019)
RR
Illinois(6/8/2023)
IAR
Illinois(6/8/2023)
IAR
Maine(5/14/2020)
RR
New Mexico(6/23/2021)
IAR
New Mexico(6/30/2021)
RR
Oregon(8/24/2018)
IAR
Oregon(3/1/2019)
RR
Washington(8/24/2018)
IAR
Washington(3/25/2019)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
