Zhihua Yang
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.
Zhihua Yang, who also goes by George Yang, was a registered financial professional .
Zhihua is a previously registered financial professional and started their career in finance in 1993. Zhihua had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2015 - December 31, 2016
CONCORDE INVESTMENT SERVICES, LLC
March 24, 2010 - October 16, 2015
J.P. TURNER & COMPANY, L.L.C.
June 11, 2004 - March 29, 2010
GUNNALLEN FINANCIAL, INC
May 20, 1996 - August 9, 2004
ANDREW, ALEXANDER, WISE & COMPANY INCORPORATED
December 23, 1994 - May 15, 1996
RICKEL & ASSOCIATES, INC.
September 20, 1993 - December 23, 1994
SOUTH RICHMOND SECURITIES, INC.
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 INVESTMENT SERVICES, LLC
CRD#: 151604 / SEC#: , 8-68388
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONCORDE HOLDINGS INC. | OWNER / MANAGING MEMBER | |
| ARNOLD, AMY PERRYMAN | CHIEF DUE DILIGENCE OFFICER | 3037672 |
| DELONGCHAMP, DANIELLE LEIGH | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4901901 |
| GAKENHEIMER, JOHN HERBERT | REGISTERED OPTIONS PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL | 810171 |
| HOFER, KATHLEEN ANN | FINOP, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1087639 |
| LOBERG, NICHOLAS | DIRECTOR OF BROKERAGE OPERATIONS | 6778518 |
| MCMURRY, KEITH | CHIEF OPERATIONS OFFICER | 5647966 |
| STACEY, JENNIFER LEIGH | CHIEF COMPLIANCE OFFICER | 2536581 |
| WOOLSON, NICOLE RENEE | DIRECTOR OF COMPLIANCE | 3143232 |
Disclosures
| Regulatory Event | 4 |
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.
