RF
Rebecca C. Freeman
CONCORDE ASSET MANAGEMENT
Saratoga Springs, NY 12866
Some features on this profile are disabled
CRD#: 1778801
RF
Professional summary
Rebecca Cerrone Freeman, CFP®, who also goes by Rebecca Sue Cerrone, Rebecca Sue Freeman, is a registered financial advisor currently at CONCORDE ASSET MANAGEMENT, LLC located in Saratoga Springs, New York and CONCORDE INVESTMENT SERVICES, LLC located in Ann Arbor, Michigan.
Rebecca is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Rebecca has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rebecca Sue Cerrone | Rebecca Sue Freeman
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) ERN Wealth Management Inc, Non Investment Related, NY, President. Start Date: 01/2010. Company set up for accounting purposes as a S Corp for payroll. No business is conducted in this company, it is just used for a checking and accounting payroll entiity for life insurance commissions. 2) Concorde Asset Management LLC, Investment Related, Investment Advisor Representative, Start Date January 2015. Saratoga Springs NY. Investment Advisory sales and Service. Full time during business hours. 3) Concorde Insurance Agency; Saratoga Springs, NY. Insurance Agent; provide insurance services to clients when appropriate. No client conflict. 4) Sage Consulting & Wealth Preservation, Inc. Investment Related, Saratoga Springs, NY. Insurance and Estate Planning, Independent Contractor. Consult on Technology processes and workflow. Assist with the Priestly Fraternity and the processes for planned giving. Hours involved 11-20 hours a month both during business hours and outside of business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Rebecca Cerrone Freeman'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: 2001
Experience
Current
June 1, 2017 - Present
CONCORDE ASSET MANAGEMENT, LLC
Office #1: 376 Broadway Suite 26, Saratoga Springs, NY 12866RIA
CRD#: 140367
Saratoga Springs, NY
Current
January 9, 2015 - Present
CONCORDE INVESTMENT SERVICES, LLC
Office #1: 3909 Research Park Drive Suite 200, Ann Arbor, MI 48108BD
CRD#: 151604
Ann Arbor, MI
Past
August 28, 2009 - December 19, 2014
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
SARATOGA SPRINGS, NY
Past
February 18, 2002 - July 13, 2009
CASTLE HILL CAPITAL PARTNERS, INC.
BD
CRD#: 44131
CLIFTON PARK, NY
Past
December 16, 1998 - July 19, 1999
M&T SECURITIES, INC.
BD
CRD#: 17358
BALTIMORE, MD
Past
February 4, 1998 - January 4, 1999
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
November 9, 1994 - October 1, 1997
KEYPORT FINANCIAL SERVICES CORP.
BD
CRD#: 8127
WELLESLEY HILLS, 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".
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
IAR
Arizona(6/25/2018)
RR
Arizona(2/13/2024)
IAR
California(5/11/2018)
IAR
Connecticut(4/8/2021)
RR
Connecticut(8/3/2023)
IAR
Florida(6/1/2017)
RR
Florida(8/7/2024)
RR
Maine(7/2/2020)
IAR
Maine(7/2/2020)
RR
Maryland(11/2/2020)
IAR
Maryland(12/7/2020)
IAR
Massachusetts(12/13/2023)
IAR
Montana(8/30/2019)
RR
Montana(10/30/2019)
IAR
New Jersey(5/31/2018)
RR
New Jersey(7/19/2024)
RR
New York(1/9/2015)
IAR
New York(2/17/2021)
IAR
Ohio(4/28/2023)
IAR
Pennsylvania(9/12/2019)
RR
Pennsylvania(6/18/2025)
IAR
South Dakota(9/12/2019)
RR
Texas(7/22/2025)
IAR
Texas(10/28/2025)
IAR
Virginia(5/23/2018)
Exams
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.
Company Information
CONCORDE ASSET MANAGEMENT, LLC
CRD#: 140367Saratoga Springs, NY 12866TRUST BUT VERIFY
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