LG
Lauri R. Grovich
CONCORDE ASSET MANAGEMENT
Scottsdale, AZ 85258
Some features on this profile are disabled
CRD#: 2415173
LG
Professional summary
Lauri Ranae Grovich, who also goes by Lauri R Mosley, Lauri Ranae Mosley, is a registered financial advisor currently at CONCORDE ASSET MANAGEMENT, LLC located in Scottsdale, Arizona and CONCORDE INVESTMENT SERVICES, LLC located in Scottsdale, Arizona.
Lauri is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Lauri has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lauri R Mosley | Lauri Ranae Mosley
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. 4/16/2019 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 10/01/2016 - 2 Hours Per Month - Time Spent 5% - Life insurance, annuity. 2. 10/04/2022 - No Business Name - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Start Date - 02/16/2022 - 2 Hours Per Month/2 Hours During Securities Trading 3. Concorde Asset Management, Investment related, Investment advisory services, Registered Investment Advisor, back office paperwork, account opeoning beneficiary updates or changes, review of client portfolios. Start Date 01/01/2024, 21-40 hours/month during non business hours, 40 hours month during business hours. 4. Concorde Insurance Agency , Investment related, Insurance product sales, Producer/Agent, Start Date 01/02/2024, 1-5 hours/month during non business hours, 1-5 hours month during business hours. 5. MCRC, Maricopa County Republican Committee, Non Investment related, Maricopa County AZ, attend committee meetings, vote on member election and committee business relating to MCRC. State and precint committeeman for AZ Legislative District 4. Committee leadership and bylaws, engage in community outreach, voter registration, education. Start 02/23/2024, 1-5 hours/month during non trading hours, 1-5 hours/month during trading hours. 6. Lauri Grovich, Non Investment related, 8390 E Via de Ventura F205, Scottsdale AZ 85258, Fixed Indexed Annuities, Sales Representative, Back office and strategy changes with indexes. Start date 01/01/2024, 1-5 hours/month during non trading hours, 1-5 hours/month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Lauri Ranae Grovich'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
January 24, 2024 - Present
CONCORDE ASSET MANAGEMENT, LLC
Office #1: 8390 E Via De Ventura Suite F205, Scottsdale, AZ 85258RIA
CRD#: 140367
Scottsdale, AZ
Current
January 8, 2024 - Present
CONCORDE INVESTMENT SERVICES, LLC
Office #1: 8390 E. Via De Ventura Suite F205, Scottsdale, AZ 85258BD
CRD#: 151604
Scottsdale, AZ
Past
May 22, 2019 - August 1, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
PHOENIX, AZ
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(1/24/2024)
IAR
Arizona(1/24/2024)
RR
California(1/9/2024)
RR
Colorado(2/15/2024)
RR
Ohio(1/8/2024)
RR
Oregon(1/9/2024)
RR
Texas(2/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/22/2019
General Securities Representative ExaminationGeneral 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#: 140367Scottsdale, AZ 85258TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
