AL
Alan N. Lichtenstein
CONCORDE ASSET MANAGEMENT
Setauket, NY 11733
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CRD#: 1877017
AL
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Alan Neil Lichtenstein'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®
Experience
Current
May 16, 2017 - Present
CONCORDE ASSET MANAGEMENT, LLC
Office #1: 61 Route 25a, Setauket, NY 11733RIA
CRD#: 140367
Setauket, NY
Current
June 12, 2015 - Present
CONCORDE INVESTMENT SERVICES, LLC
Office #1: 61 Route 25a, Setauket, NY 11733BD
CRD#: 151604
Setauket, NY
Past
January 18, 2011 - June 19, 2015
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
PORT JEFFERSON, NY
Past
September 12, 2006 - May 4, 2010
ALTERNATIVE WEALTH STRATEGIES, INC.
BD
CRD#: 130933
MELVILLE, NY
Past
January 30, 2003 - September 15, 2006
EQUITY SERVICES, INC.
BD
CRD#: 265
HAUPPAUGE, NY
Past
September 27, 1989 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
September 27, 1989 - January 28, 2003
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
April 3, 1989 - August 21, 1989
ROBERT TODD FINANCIAL CORP.
BD
CRD#: 7423
NEW YORK, NY
Past
November 29, 1988 - December 21, 1988
J. T. MORAN & CO., INC.
BD
CRD#: 15655
Past
October 19, 1988 - November 30, 1988
BLINDER, ROBINSON & CO., INC.
BD
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".
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
Alabama(9/3/2025)
RR
Arizona(5/7/2019)
RR
California(6/12/2015)
RR
Connecticut(6/12/2015)
RR
Florida(6/12/2015)
RR
Louisiana(12/13/2021)
RR
New Jersey(6/12/2015)
IAR
New Jersey(5/17/2017)
RR
New York(6/12/2015)
IAR
New York(2/23/2021)
RR
North Carolina(5/13/2019)
RR
Oregon(9/8/2025)
RR
Pennsylvania(6/15/2015)
RR
South Carolina(2/15/2017)
RR
Texas(9/17/2021)
Exams
State Security Law Exam
State Security Law 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CONCORDE ASSET MANAGEMENT, LLC
CRD#: 140367Setauket, NY 11733TRUST BUT VERIFY
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