Alan N. Lichtenstein

CONCORDE ASSET MANAGEMENT

Setauket, NY 11733

Some features on this profile are disabled

CRD#: 1877017

Professional summary

Alan Neil Lichtenstein, CFA is a registered financial advisor currently at CONCORDE ASSET MANAGEMENT, LLC located in Setauket, New York and CONCORDE INVESTMENT SERVICES, LLC located in Setauket, New York.

Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Alan has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) CHARLES RUTENBERG REALTY.255 EXECUTIVE PLAZA,SUITE 104,PLAINVIEW NY 11803.REAL ESTATE SALES PERSON.REAL ESTATE SALES.1-5 HRS A WEEK SPENT AT OTHER BUSINESS DURING TRADING HRS.1-5 HRS A WEEK SPENT DURING NON-TRADING HRS.LISTING/SELLING RESIDENTIAL REAL ESTATE/COMMERCIAL REAL ESTATE.COMMISSION ONLY(VARIES)CRRLI.COM.START DATE 06/2008 2) FORTITUDE INVESTMENT GROUP, LLC.SETAUKET NY, 11733 REGISTERED REP, FINANCIAL, DBA FOR BROKERAGE ACTIVITIES. START 01/2011. 3) VARIOUS INSURANCE COMPANIES, 18 WADE DR LAKE GROVE, NY 11755. AGENT - MARKET AND SELL INSURANCE ( LIFE, HEALTH, DISABILITY, LONG TERM CARE, P & C INSURANCE). NOT INVESTMENT RELATED. 4) ESTATE PLANNING TEAM, 45110 CLUB DRIVE, STE B, INDIAN WELLS, CA 92210. MEMBER MARKETING AND TRUST REFERRAL. MYDSTPLAN.COM/FORTITUDEGROUP. ALICHTENSTEIN@FORTITUDEINVESTMENTS.COM. NOT INVESTMENT RELATED. 5) ALLDEB MARKETING LLC. NON INVESTMENT RELATED. CONTINUING PROFESSIONAL EDUCATION SPONSOR. LAKE GROVE, NY. INSTRUCTOR. PROVIDE CONTINUING EDUCATION CREDIT COURSES TO NY CPA'S. 1-5 HOURS/MONTH DURING TRADING HOURS. 6) CONCORDE ASSET MANAGEMENT, LLC., 61 ROUTE 25A SETAUKET, NY 11733 INVESTMENT RELATED. START DATE, OCTOBER 2015. INVESTMENT ADVISORY SALES AND SERVICE. 7) Concorde Insurance Agency, 61 Route 25A Setauket NY,11733. Investment Related. Insurance broker, marketing/sales of life, health, disability, LTC, P&C insurance and annuities.1-5 hours during market hours, 1-5 hours outside market hours. 8) Lichtenstein, Alan, 18 Wade Dr. Lake Grove, NY 11755. Not investment related. Notary Public. Duties include Notarizing documents. Hours worked 1-5 during trading hours and 1-5 outside business hours. 9) Alan Lichtenstein, Licensed Insurance Agent, Investment related, 18 Wade Drive, Lake Grove NY 11755, 1099 independent agent for various insurance companies, I offer product lines including Fixed Annuities, Fixed and Variable Life Insurance, LTC and Disability. This business is processed through Alpine Brokerage Group and compensation is paid to me directly from the various insurance companies or through Concord Insurance Agency. Start date 01/13/2017, 1-5 hours/month during non trading hours, 1-5 hours/month during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Neil Lichtenstein's CRS (Customer Relationship Summary).

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®

CFA

Chartered Financial Analyst

Experience

Current

May 16, 2017 - Present

CONCORDE ASSET MANAGEMENT, LLC

Office #1: 61 Route 25a, Setauket, NY 11733

RIA

CRD#: 140367

Setauket, NY

Current

June 12, 2015 - Present

CONCORDE INVESTMENT SERVICES, LLC

Office #1: 61 Route 25a, Setauket, NY 11733

CRD#: 151604

Setauket, NY

Past

January 18, 2011 - June 19, 2015

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

PORT JEFFERSON, NY

Past

September 12, 2006 - May 4, 2010

ALTERNATIVE WEALTH STRATEGIES, INC.

CRD#: 130933

MELVILLE, NY

Past

January 30, 2003 - September 15, 2006

EQUITY SERVICES, INC.

CRD#: 265

HAUPPAUGE, NY

Past

September 27, 1989 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

September 27, 1989 - January 28, 2003

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

April 3, 1989 - August 21, 1989

ROBERT TODD FINANCIAL CORP.

CRD#: 7423

NEW YORK, NY

Past

November 29, 1988 - December 21, 1988

J. T. MORAN & CO., INC.

CRD#: 15655

Past

October 19, 1988 - November 30, 1988

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(9/3/2025)

Arizona
(5/7/2019)

California
(6/12/2015)

Connecticut
(6/12/2015)

Florida
(6/12/2015)

Louisiana
(12/13/2021)

New Jersey
(6/12/2015)

IAR

New Jersey
(5/17/2017)

New York
(6/12/2015)

IAR

New York
(2/23/2021)

North Carolina
(5/13/2019)

Oregon
(9/8/2025)

Pennsylvania
(6/15/2015)

South Carolina
(2/15/2017)

Texas
(9/17/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/12/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/22/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/15/1988

General Securities Representative Examination

SRO Registrations

FINRA

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Randy Brickman

PARK AVENUE SECURITIES LLC

IAR

NORTH WOODMERE, NY

Harlan Fischer

CETERA INVESTMENT ADVISERS LLC

IAR

SETAUKET, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alan N. Lichtenstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Neil Lichtenstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONCORDE INVESTMENT SERVICES, LLC

J.P. TURNER & COMPANY, L.L.C.

ALTERNATIVE WEALTH STRATEGIES, INC.

EQUITY SERVICES, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

ROBERT TODD FINANCIAL CORP.

J. T. MORAN & CO., INC.

BLINDER, ROBINSON & CO., INC.

Primary Firm SEC Registration

CONCORDE ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/12/2017

Series 63

Date: 9/22/1988

SIE

Date: 10/1/2018

Series 7

Date: 10/15/1988

FINRA

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

Similar Advisors