Michael H. Mccormick
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.
Michael Hugh Mccormick, who also goes by Mike Mccormick, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1995. Michael had worked at 6 firms and has passed the Series 66, Series 65, Series 63, 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 8, 2012 - December 31, 2013
CONCORDE ASSET MANAGEMENT, LLC
June 8, 2012 - December 31, 2013
CONCORDE INVESTMENT SERVICES, LLC
October 5, 2009 - May 4, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - May 4, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
July 19, 2004 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
September 25, 1997 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
November 21, 1996 - July 8, 1997
UBS FINANCIAL SERVICES INC.
October 11, 1995 - October 9, 1996
PRUDENTIAL EQUITY GROUP, LLC
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
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