Douglas I. Zack
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Douglas Ian Zack was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1993. Douglas had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2018 - August 9, 2019
CONCORDE ASSET MANAGEMENT, LLC
August 23, 2018 - August 9, 2019
CONCORDE INVESTMENT SERVICES, LLC
September 10, 2013 - August 16, 2018
L.M. KOHN & COMPANY
August 30, 2013 - August 16, 2018
L.M. KOHN & COMPANY
January 3, 2007 - September 3, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 7, 1996 - September 3, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 28, 1993 - June 5, 1996
AMERIPRISE ADVISOR SERVICES, INC.
Primary Firm SEC Registration
CONCORDE ASSET MANAGEMENT, LLC
CRD#: 140367 / SEC#: 801-74519
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CONCORDE ASSET MANAGEMENT, LLC
CRD#: 140367 / SEC#: 801-74519
Contact information
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.
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