DZ
David J. Zupek
CONCORDE ASSET MANAGEMENT
The Villages, FL
Some features on this profile are disabled
CRD#: 2250376
DZ
Professional summary
David Jon Zupek is a registered financial advisor currently at CONCORDE ASSET MANAGEMENT, LLC located in The Villages, Florida and CONCORDE INVESTMENT SERVICES, LLC located in Racine, Wisconsin.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. David has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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) FOREMOST FINANCIAL PLANNING, INC. INVESTMENT RELATED. START DATE: OCTOBER 1993. Independent Consultant, THE VILLAGES, FL. Primarily covers tax planning related activities, giving advice and completing individual tax returns for clients; occasional completion of estate Planning related claim forms. Receive LTCI and some fixed life trail commissions, so occasional servicing of these accounts. 6-10 hours/month during trading hours. 2) TADA WEALTH ADVISORS, INC., INVESTMENT RELATED. THE VILLAGES, FL., START DATE: OCTOBER 2019. FOUNDER. DBA FOR SECURITIES AND ADVISORY RELATED BUSINESS ACTIVITES THROUGH MY BROKER DEALER; ALL COMMISSION ASSIGNED FROM DAVID ZUPEK AS AN INDIVIDUAL TO THIS CORPORATION. INVESTMENT RELATED. DEVOTES 40 HRS/WK. 11-20 HOURS/MTH DURING TRADING HOURS. 3) Concorde Asset Management Inc, Investment related, The Villages Fl, Investment Advisor Rep, financial planning related services and rep managed investment advisory related actiivities. 100 % revenue is assigned to Mark Huber, Start date: 10/2012. 11-20 hours/month during non trading hours, 11-20 hours/month during trading hours. 4) Concorde Insurance Agency; Investment related. Start date 10/2012. The Villages, FL. Insurance Agent; provide insurance services to clients when appropriate. 1-5 hours/month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view David Jon Zupek'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®
NoneExperience
Current
October 23, 2012 - Present
CONCORDE ASSET MANAGEMENT, LLC
Office #2: 6226 Bankers Road Ste. 1, Racine, WI 53403RIA
CRD#: 140367
The Villages, FL
Current
October 11, 2012 - Present
CONCORDE INVESTMENT SERVICES, LLC
Office #1: 6226 Bankers Road Ste. 1, Racine, WI 53403BD
CRD#: 151604
RACINE, WI
Past
April 2, 2012 - October 18, 2012
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
RACINE, WI
Past
April 2, 2012 - October 18, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
RACINE, WI
Past
October 12, 2010 - April 3, 2012
ANNEX WEALTH MANAGEMENT, LLC
RIA
CRD#: 127987
RACINE, WI
Past
October 6, 2010 - April 4, 2012
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
RACINE, WI
Past
October 4, 2010 - October 4, 2010
GROVE POINT INVESTMENTS, LLC
RIA
CRD#: 1763
RACINE, WI
Past
April 19, 2002 - October 4, 2010
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
RACINE, WI
Past
April 19, 2002 - October 4, 2010
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
RACINE, WI
Past
April 3, 2000 - April 24, 2002
SII INVESTMENTS, INC.
RIA
CRD#: 2225
RACINE, WI
Past
February 10, 2000 - April 24, 2002
SII INVESTMENTS, INC.
BD
CRD#: 2225
APPLETON, WI
Past
April 4, 1994 - February 11, 2000
FFP SECURITIES, INC.
BD
CRD#: 16337
CHESTERFIELD, MO
Past
January 4, 1994 - April 4, 1994
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
April 23, 1993 - December 31, 1993
FFP SECURITIES, INC.
BD
CRD#: 16337
CHESTERFIELD, MO
Past
January 8, 1993 - April 21, 1993
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
June 22, 1992 - December 31, 1992
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
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(12/3/2024)
IAR
Arizona(12/24/2024)
RR
Florida(10/11/2012)
IAR
Florida(12/6/2012)
RR
Iowa(8/1/2016)
IAR
Iowa(11/15/2018)
RR
Wisconsin(10/23/2012)
IAR
Wisconsin(10/23/2012)
Exams
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
