Barry W. Lemay
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.
Barry William Lemay was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1973. Barry had worked at 18 firms and has passed the Series 63, Series 7TO, SIE, Series 31, Series 1, Series 39 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2012 - November 8, 2021
CONCORDE ASSET MANAGEMENT, LLC
January 3, 2012 - November 8, 2021
CONCORDE INVESTMENT SERVICES, LLC
March 11, 2008 - December 31, 2011
PACIFIC WEST FINANCIAL CONSULTANTS INC
March 11, 2008 - December 31, 2011
PACIFIC WEST SECURITIES, INC.
January 27, 2003 - March 11, 2008
VSR FINANCIAL SERVICES, INC.
April 8, 2002 - February 7, 2003
THE MASTERS, INC.
January 24, 1991 - March 11, 2008
VSR FINANCIAL SERVICES, INC.
January 1, 1990 - January 30, 1991
SOARES FINANCIAL GROUP, INC.
November 30, 1988 - January 16, 1990
CHRISTOPHER WEIL & COMPANY, INC.
November 3, 1988 - February 22, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
March 4, 1988 - November 3, 1988
CHRISTOPHER WEIL & COMPANY, INC
April 3, 1981 - April 21, 1988
QUOX, INCORPORATED
March 18, 1977 - September 10, 1982
GOLDEN STATE FINANCIAL SECURITIES, INC.
September 10, 1976 - April 26, 1977
DAVE FRIES AND ASSOCIATES
December 31, 1975 - October 7, 1976
PORTFOLIO STRATEGIES, INC.
October 8, 1974 - February 9, 1976
BELMONT REID AND CO INC
April 11, 1973 - November 16, 1974
AMERICAN EXPRESS FINANCIAL CORPORATION
April 11, 1973 - November 16, 1974
AMERIPRISE FINANCIAL SERVICES, LLC
April 11, 1973 - November 16, 1974
IDS LIFE INSURANCE COMPANY
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 4/4/1973
Registered Representative ExaminationCurrent 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
