DR
Daniel P. Raupp
CONCORDE INVESTMENT SERVICES
Setauket, NY 11733
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CRD#: 4079107
DR
Professional summary
Daniel Philip Raupp is a registered financial professional currently at CONCORDE INVESTMENT SERVICES, LLC located in Setauket, New York.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2000. Daniel has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Daniel Philip Raupp'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
June 12, 2015 - Present
CONCORDE INVESTMENT SERVICES, LLC
Office #1: 61 Route 25a, Setauket, NY 11733BD
CRD#: 151604
Setauket, NY
Past
March 4, 2010 - June 19, 2015
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
PORT JEFFERSON, NY
Past
March 25, 2003 - March 23, 2010
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
PORT JEFFERSON, NY
Past
November 19, 2001 - March 19, 2003
HARRISON SECURITIES, INC.
BD
CRD#: 14103
PORT WASHINGTON, NY
Past
October 22, 2001 - November 27, 2001
EHRENKRANTZ KING NUSSBAUM
BD
CRD#: 31140
NEW YORK, NY
Past
March 2, 2000 - October 22, 2001
WEATHERLY SECURITIES CORPORATION
BD
CRD#: 11081
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(2/16/2017)
RR
Alaska(7/19/2021)
RR
Arizona(6/12/2015)
RR
Arkansas(7/30/2020)
RR
California(6/12/2015)
RR
Colorado(6/15/2015)
RR
Connecticut(6/12/2015)
RR
Delaware(6/16/2015)
RR
District of Columbia(7/1/2020)
RR
Florida(6/12/2015)
RR
Georgia(6/26/2015)
RR
Idaho(6/12/2015)
RR
Illinois(6/19/2015)
RR
Indiana(6/23/2015)
RR
Iowa(6/26/2020)
RR
Kansas(7/7/2020)
RR
Kentucky(6/12/2015)
RR
Louisiana(6/12/2015)
RR
Maine(6/15/2015)
RR
Maryland(6/12/2015)
RR
Massachusetts(6/12/2015)
RR
Michigan(6/12/2015)
RR
Minnesota(6/23/2015)
RR
Mississippi(7/30/2020)
RR
Missouri(6/12/2015)
RR
Montana(5/16/2019)
RR
Nebraska(8/5/2020)
RR
Nevada(4/27/2017)
RR
New Hampshire(10/22/2020)
RR
New Jersey(6/12/2015)
RR
New Mexico(2/16/2017)
RR
New York(6/12/2015)
RR
North Carolina(6/12/2015)
RR
North Dakota(6/30/2020)
RR
Ohio(6/12/2015)
RR
Oregon(9/24/2020)
RR
Pennsylvania(6/12/2015)
RR
Rhode Island(6/12/2015)
RR
South Carolina(6/12/2015)
RR
South Dakota(7/22/2020)
RR
Tennessee(2/12/2021)
RR
Texas(6/12/2015)
RR
Utah(6/12/2015)
RR
Vermont(6/12/2015)
RR
Virginia(6/12/2015)
RR
Washington(6/19/2015)
RR
West Virginia(4/29/2020)
RR
Wisconsin(6/18/2015)
RR
Wyoming(3/11/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CONCORDE INVESTMENT SERVICES, LLC
CONCORDE INVESTMENT SERVICES, LLC
CRD#: 151604 / SEC#: , 8-68388
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
3909 Research Park Drive Suite 200, Ann Arbor, MI 48108
Mailing Address
3909 Research Park Drive Suite 200, Ann Arbor, MI 48108
Phone number
(248) 428-8008
Established
Michigan since 07/10/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
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.
Company Information
CONCORDE INVESTMENT SERVICES, LLC
CRD#: 151604Setauket, NY 11733TRUST BUT VERIFY
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