PM
Peter J. Mcneil
CONCORDE ASSET MANAGEMENT
Alameda, CA
Some features on this profile are disabled
CRD#: 4378567
PM
Professional summary
Peter Joseph Mcneil, who also goes by Peter Mcneil, Peter Joseph Mcneil, is a registered financial advisor currently at CONCORDE ASSET MANAGEMENT, LLC located in Alameda, California and CONCORDE INVESTMENT SERVICES, LLC located in Ann Arbor, Michigan.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Peter has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Peter Mcneil | Peter Joseph Mcneil
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) CA INSURANCE AGENT - DBA "MCNEIL & ASSOCIATES" OFFERING SALES OF FIXED INSURANCE PRODUCTS, LICENSED SINCE 09/2005, NON INVESTMENT RELATED, TIME SPENT VARIES, BUSINESS CONDUCTED FROM OFFICE ADDRESS OF RECORD
(2) CONCORDE ASSET MANAGEMENT, LLC, INVESTMENT RELATED, LIVONIA, MI, INVESTMENT ADVISOR REP CONDUCTING INVESTMENT ADVISOR SALES AND SERVICE. FULL TIME.
(3) Comprehensive Financial and Tax, Investment related, Tax preparation and planning, Manhattan Beach, CA, Owner, 1-5 hours per month during trading hours. Started 02/2014
CRS (Client Relationship Summary) - RIA
Click below to view Peter Joseph Mcneil'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
July 27, 2018 - Present
CONCORDE ASSET MANAGEMENT, LLC
RIA
CRD#: 140367
Alameda, CA
Current
July 27, 2018 - Present
CONCORDE INVESTMENT SERVICES, LLC
Office #1: 3909 Research Park Drive Suite 200, Ann Arbor, MI 48108BD
CRD#: 151604
Ann Arbor, MI
Past
November 13, 2008 - July 24, 2018
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
Manhattan Beach, CA
Past
November 12, 2008 - July 24, 2018
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
Manhattan Beach, CA
Past
August 9, 2004 - November 13, 2008
FINANCIAL WEST GROUP
RIA
CRD#: 16668
MANHATTAN BEACH, CA
Past
August 3, 2004 - November 13, 2008
FINANCIAL WEST GROUP
BD
CRD#: 16668
MANHATTAN BEACH, CA
Past
July 5, 2001 - August 4, 2004
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
MANHATTAN BEACH, CA
Past
May 22, 2001 - August 4, 2004
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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(7/27/2018)
RR
California(7/27/2018)
IAR
California(7/27/2018)
RR
Colorado(7/27/2018)
RR
Idaho(10/30/2018)
IAR
Idaho(10/31/2018)
RR
Nevada(7/19/2019)
IAR
Texas(10/30/2018)
RR
Wisconsin(1/13/2021)
IAR
Wisconsin(8/23/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General 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
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.
