SE
Steven E. Erickson
CONCORDE ASSET MANAGEMENT
West Linn, OR 97068
Some features on this profile are disabled
CRD#: 4400791
SE
Professional summary
Steven Eric Erickson is a registered financial advisor currently at CONCORDE ASSET MANAGEMENT, LLC located in West Linn, Oregon and CONCORDE INVESTMENT SERVICES, LLC located in Vancouver, Washington.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Steven has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) WEALTH INVESTMENT SERVICES, LLC, INVESTMENT RELATED, DBA FOR SECURITIES RELATED ACTIVITIES, VANCOUVER, WA 98684 - START DATE 4/2012 - APPROX 160 HRS/MO. 2) YUMMY QUICK MEALS, NON INVESTMENT RELATED, 6504 NW 287TH STREET, RIDGEFIELD, WA 98642 - SELL 'THRIVE LIFE' FREEZE DRIED FOODS - DIRECTOR SINCE 9/2015 - APPROX .5 HRS/MO 3) WESTERN UNITED LIFE ASSURANCE 201 NE PARK PLAZA DR, SUITE 224, VANCOUVER, WA 98684 - FIXED ANNUITY SALES - INDEPENDENT SALES REP SINCE 1/2019 - APPROX 1 HR/MO 4) CONCORDE ASSET MANAGEMENT, LLC - LIVONIA, MI - RIA AFFILIATE OF CONCORDE INVESTMENT SERVICES, LLC - INVESTMENT ADVISOR REPRESENTATIVE SINCE 05/2020 - APPROX 160 HRS/MO - FEE BASED COMPENSATION, INVESTMENT RELATED 5) Alpine Brokerage Services, The Quantam Group, USA. Investment related. Start date: January 2021. Insurance licensed agent conducting fixed annuities, long term care and life insurance. 1-5 hours/month during trading hours. 6) SRA 831b Administration a.k.a Captive Consultants. Investment related. Eagle, ID. Start date: October 2024. Wealth Strategist, provides temporary insurance for business owners and $1 for $1 deduction on the amount invested. 1-5 hours/month during trading hours, 1-5 hours/month during non-trading hours. 7) Cornerstone Business Services, non-investment related. Green Bay, WI. Start date: October 2024. Wealth Strategist, refer clients that are selling or considering selling business. 1-5 hours/month during trading hours, 1-5 hours/month during non-trading hours. 8) SRA 831b, Investment related, Eagle, ID. Start date: June 2025. Referral Rep, connects clients that need 831b insurance plans with SRA, SRA sets up 831b plan and we manage the investment at Pershing. 1-5 hours/month during trading hours, 1-5 hours/month during non-trading hours. 9) Columbia Theater Arts Foundation. Non-investment related, Battle Ground, WA. Start date: February 2025. Board Chair, attends monthly meetings, attends productions as representative of the board, and promotes the mission of the theater program. 1-5 hours/month during trading hours, 1-5 hours/month during non-trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Eric Erickson'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
May 13, 2020 - Present
CONCORDE ASSET MANAGEMENT, LLC
Office #1: 1800 Blakenship Rd. Suite 214, West Linn, OR 97068Office #2: 201 Ne Park Plaza Drive Suite 225, Vancouver, WA 98684RIA
CRD#: 140367
West Linn, OR
Current
May 12, 2020 - Present
CONCORDE INVESTMENT SERVICES, LLC
Office #1: 201 Ne Park Plaza Drive Suite 200, Vancouver, WA 98684Office #2: 1800 Blakenship Rd Suite 214, West Linn, OR 97068BD
CRD#: 151604
Vancouver, WA
Past
January 10, 2019 - May 11, 2020
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 144426
VANCOUVER, WA
Past
January 4, 2019 - May 11, 2020
INTERNATIONAL ASSETS ADVISORY, LLC
BD
CRD#: 10645
VANCOUVER, WA
Past
April 24, 2012 - February 14, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
VANCOUVER, WA
Past
April 23, 2012 - February 14, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
VANCOUVER, WA
Past
June 1, 2009 - May 17, 2012
MORGAN STANLEY
RIA
CRD#: 149777
VANCOUVER, WA
Past
June 1, 2009 - May 17, 2012
MORGAN STANLEY
BD
CRD#: 149777
VANCOUVER, WA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
VANCOUVER, WA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
VANCOUVER, WA
Past
January 27, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
VANCOUVER, WA
Past
January 27, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
VANCOUVER, WA
Past
September 10, 2003 - February 10, 2006
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
PORTLAND, OR
Past
March 19, 2003 - September 9, 2003
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
PORTLAND, OR
Past
June 21, 2001 - February 10, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
PORTLAND, OR
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(1/21/2021)
IAR
Arizona(5/11/2021)
RR
California(5/12/2020)
IAR
California(7/30/2020)
RR
Colorado(6/23/2020)
RR
Florida(8/27/2024)
RR
Georgia(1/22/2025)
IAR
Georgia(1/22/2025)
RR
Hawaii(6/12/2020)
IAR
Idaho(8/19/2021)
RR
Iowa(2/6/2025)
IAR
Iowa(2/6/2025)
RR
New Jersey(8/21/2024)
RR
North Carolina(5/17/2024)
RR
Oklahoma(1/27/2025)
IAR
Oklahoma(1/27/2025)
RR
Oregon(5/28/2020)
IAR
Oregon(8/3/2020)
RR
Pennsylvania(8/23/2024)
RR
Rhode Island(3/12/2025)
RR
Tennessee(4/6/2021)
IAR
Texas(7/30/2020)
RR
Texas(9/29/2020)
RR
Utah(5/21/2025)
RR
Virginia(12/11/2024)
RR
Washington(5/12/2020)
IAR
Washington(5/13/2020)
RR
Wyoming(12/17/2024)
Exams
State Security Law Exam
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.
