Richard D. Gann

CONCORDE ASSET MANAGEMENT

Seattle, WA 98104

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CRD#: 4623806

Professional summary

Richard Douglas Gann, who also goes by Rick Gann, is a registered financial advisor currently at CONCORDE ASSET MANAGEMENT, LLC located in Seattle, Washington and CONCORDE INVESTMENT SERVICES, LLC located in Seattle, Washington.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Richard has worked at 11 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick Gann

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. Avian Capital Markets Group, LLC dba 1031 Capital Solutions. Start date: July 2019, Investment related, Seattle, WA. Managing Director, Investment sales and advisory. Selling DST Private Placements. Full time. 2. Concorde Asset Management, LLC. Investment Advisor Representative. Start date: May, 2020. Investment related. Investment Advisory related activities. Seattle, WA. 6-10 hours/month during trading hours. 3. Books Sales, Non-investment related. Start date: July 2019, Portland, OR. Author and sale of two books. 1-5 hours/month during trading hours 4. Altsillustrator.com. Investment related. Start date March 2024. Member. Seattle, WA. Cloud based app/software program. 1-5 hours/month during trading hours. 5. Lighthouse Capital Group, LLC (affiliate of ExchangeRight). Investment-related. Start date: September 2025. Creating specific real estate portfolios for clients. 450 Alaskan Way South, Suite 200 Seattle, WA 98104. Temporary affiliate. 1-5 hours/week during non-trading hours. 6-10 hours/week during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Douglas Gann's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 4, 2020 - Present

CONCORDE ASSET MANAGEMENT, LLC

Office #1: 450 Alaskan Way South Suite 200, Seattle, WA 98104

RIA

CRD#: 140367

Seattle, WA

Current

May 4, 2020 - Present

CONCORDE INVESTMENT SERVICES, LLC

Office #1: 450 Alaskan Way South Suite 200, Seattle, WA 98104

CRD#: 151604

Seattle, WA

Past

July 17, 2019 - May 4, 2020

DFPG INVESTMENTS, LLC

RIA

CRD#: 155576

Lake Oswego, OR

Past

July 1, 2019 - May 4, 2020

DFPG INVESTMENTS, LLC

CRD#: 155576

Lake Oswego, OR

Past

January 9, 2019 - March 6, 2019

STIRA CAPITAL MARKETS GROUP, LLC

CRD#: 141277

IRVINE, CA

Past

October 3, 2016 - March 9, 2017

STONNINGTON GROUP, LLC

CRD#: 131221

SAN CLEMENTE, CA

Past

November 30, 2011 - June 20, 2016

STIRA CAPITAL MARKETS GROUP, LLC

CRD#: 141277

IRVINE, CA

Past

February 18, 2010 - November 21, 2011

KBS CAPITAL MARKETS GROUP LLC

CRD#: 132299

NEWPORT BEACH, CA

Past

January 5, 2007 - March 17, 2010

GRUBB & ELLIS SECURITIES, INC.

CRD#: 17932

SANTA ANA, CA

Past

July 11, 2006 - January 4, 2007

LPL FINANCIAL LLC

RIA

CRD#: 6413

OCEANSIDE, CA

Past

July 10, 2006 - January 4, 2007

LPL FINANCIAL LLC

CRD#: 6413

OCEANSIDE, CA

Past

May 30, 2006 - July 25, 2006

TOWER SQUARE SECURITIES, INC.

RIA

CRD#: 833

OCEANSIDE, CA

Past

January 17, 2006 - July 25, 2006

TOWER SQUARE SECURITIES, INC.

CRD#: 833

OCEANSIDE, CA

Past

December 1, 2004 - December 21, 2005

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

LAGUNA HILLS, CA

Past

August 18, 2004 - December 21, 2005

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

February 19, 2003 - August 27, 2004

PARKLAND SECURITIES, LLC

CRD#: 115368

ANN ARBOR, MI

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Alaska
(9/30/2021)

Arizona
(5/4/2020)

California
(5/4/2020)

IAR

California
(5/4/2020)

Colorado
(1/4/2021)

District of Columbia
(3/2/2021)

Florida
(2/16/2021)

Georgia
(9/2/2022)

Hawaii
(3/22/2021)

Idaho
(1/12/2021)

Illinois
(8/16/2021)

Kansas
(11/7/2023)

Louisiana
(2/26/2021)

Maryland
(2/24/2023)

Massachusetts
(11/2/2021)

Missouri
(6/30/2021)

Montana
(11/16/2020)

Nevada
(5/4/2020)

New Jersey
(1/5/2023)

New Mexico
(12/22/2021)

New York
(2/23/2021)

North Carolina
(12/22/2020)

North Dakota
(1/23/2023)

Ohio
(8/30/2024)

Oregon
(5/4/2020)

IAR

Oregon
(5/12/2020)

Pennsylvania
(2/27/2023)

South Carolina
(8/2/2023)

South Dakota
(1/21/2021)

Tennessee
(1/5/2021)

Texas
(4/12/2021)

Utah
(5/4/2020)

Virginia
(6/2/2022)

Washington
(5/4/2020)

Wyoming
(7/28/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/16/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/18/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 3/9/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/11/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/18/2003

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/2/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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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

SEC notice filing (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV WRAP FEE BROCHURE (3/31/2025)

ADV PART 2 BROCHURE (3/31/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Richard D. Gann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Douglas Gann's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONCORDE INVESTMENT SERVICES, LLC

DFPG INVESTMENTS, LLC

DFPG INVESTMENTS, LLC

STIRA CAPITAL MARKETS GROUP, LLC

STONNINGTON GROUP, LLC

STIRA CAPITAL MARKETS GROUP, LLC

KBS CAPITAL MARKETS GROUP LLC

GRUBB & ELLIS SECURITIES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

TOWER SQUARE SECURITIES, INC.

TOWER SQUARE SECURITIES, INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

PARKLAND SECURITIES, LLC

Primary Firm SEC Registration

CONCORDE ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/16/2019

Series 63

Date: 2/18/2003

Series 79TO

Date: 1/2/2023

SIE

Date: 3/9/2017

Series 7

Date: 9/11/2004

Series 6

Date: 2/18/2003

Series 24

Date: 4/2/2007

FINRA

Current Firm

CONCORDE ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONCORDE ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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