WL
Winnie Liu
CONCORDE ASSET MANAGEMENT
El Segundo, CA 90245
Some features on this profile are disabled
CRD#: 4708329
WL
Professional summary
Winnie Liu, who also goes by Winnie Hwang, is a registered financial advisor currently at CONCORDE ASSET MANAGEMENT, LLC located in El Segundo, California and CONCORDE INVESTMENT SERVICES, LLC located in San Francisco, California.
Winnie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Winnie has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Winnie Hwang
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) Haylen Group, Real Estate Broker, Invest. related, San Jose CA, Realtor, help clients buy & sell houses, Started: 09/2022, 1-5 hrs/mo during trading hours, 1-5 hrs/mo during non trading hours. 2) Gay Luck Corporation, Magnus Windsor LLC, Sylvan Ventures LLC, Northfield Management Holdings, LLC, Golden Mare LLC, Invest. related. Apple Valley CA. Holding companies for real estate properties. Real Estate Investor, no active duties. Started: 01/2011,1-5 hrs/mo during trading hours, 1-5 hrs/mo during non trading hours. 3) Southern California Bone & Joint Clinic, Non Invest. related, Apple Valley, CA. Medical Office for health care, Administrator. Started: 08/2020. 11-20 hrs/mo during non trading hours. 1-5 hrs/mo during trading hours. 4) Fly High Initiatives, Non Invest. related, Apple Valley, CA, Nonprofit organization making donations to different entities, director. Started: 04/2021. 1-5 hrs/mo during trading hours, 1-5 hrs/mo during non trading hours. 5) Sequent Real Estate & Wealth Management, Invest. related, San Francisco, CA. Started: 12/2022, 21-40 hrs/mo during non trading hours, 21-40 hrs/mo during trading hours. 6) Golden Mare LLC, Invest. related, Apple Valley CA, CEO, owner of property, investment of property, holding co for a 100% owned company. Started: 01/2018, 1-5 hrs/mo during trading hours, 1-5 hrs/mo during non trading hours. 7) Sylvan Ventures LLC, Invest. related, Apple Valley CA, CEO, holding company of a real estate investment, Start date 01/2021, 1-5 hrs/mo during trading hours, 1-5 hrs/mo during non trading hours. 8) Northfield Management Holdings LLC, Invest. related, Apple Valley CA, Start date 08/2016, CEO holding company of a real estate property. No active duties or salary. 1-5 hrs/mo during non trading hours, 1-5 hrs/mo during trading hours. 9) Magnus Windsor LLC, Invest. related, Apple Valley CA, 100% of ownership/CEO, no salary, no active duties. Start date 08/2022, 1-5 hrs/mo during trading hours, 1-5 hrs/mo during non trading hours. 10) Concorde Asset Management, Invest. related, Ann Arbor, MI, securities related RIA business, Director, Senior Investment Advisor manage assets for clients. Start date 05/2023, 11-20 hrs/mo per non business hours, 1-5 hrs/mo during business hours. 11) Strategic Risk Alternatives LLC, Invest. related, Eagle, ID. Advisor, offer captive insurance to clients who are suitable. 1-5 hrs/mo during trading hours, 1-5 hrs/mo during non trading hours. 12) Radnor Investments LTD, Invest. related, Liverpool, United Kingdom, Director, investment of local properties in UK, work with local managers to handle rental properties, Start date 04/2017, 1-5 hrs/mo during trading hours, 1-5 hrs/mo during non trading hours. 13) Radnor Investments LTD, Invest. related, Liverpool, United Kingdom, Property holding company in UK, property manager handles operations. Director and owner, Started: 12/2018, 1-5 hrs/mo during trading hours, 1-5 hrs/mo during non trading hours. 14) XBenefits (DBA IM4Health). Non-Invest. related. Kokomo, IN. Start date 04/2024. Affiliate/Referral source for supplemental medical insurance. 1-5 hrs/mo during trading hours. 15) Ultimate Wealth Building. Non-Invest. related. Speaking engagements, online courses, teaching financial literacy with general education. Start 06/2024. 1-5 hrs/mo during trading hours. 16) Winnie Liu, sole proprietor, LLC TBD. Tax and business consulting service. 10/2024 17) Silver Meridian, LLC. Non-Invest. related. Casper, WY. Ecommerce store. Owner, start date 2/2025. 1-5 hrs/mo during trading hours, 1-5 hrs/mo during non trading. 18) Verite Group, LLC. Non-Invest. related. Miami, FL. Life Insurance Premium Financing, independent contractor. Start date: 07/2025. 1-5 hrs/mo during trading hours, 1-5 hrs/mo during non trading hours. 19) Captive Consultants. Non-Invest. related. Meridian, ID. Consulting firm for Captive Insurance Policies, consultant. 1-5 hrs/mo during trading hours, 1-5 hrs/mo during non trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Winnie Liu'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 1, 2023 - Present
CONCORDE ASSET MANAGEMENT, LLC
Office #1: 360 N Pacific Coast Highway Suite 2000, El Segundo, CA 90245RIA
CRD#: 140367
El Segundo, CA
Current
January 13, 2023 - Present
CONCORDE INVESTMENT SERVICES, LLC
Office #1: 44 Montgomery Street Suite 1610, San Francisco, CA 94101BD
CRD#: 151604
San Francisco, CA
Past
November 25, 2003 - August 4, 2005
PNC CAPITAL MARKETS LLC
BD
CRD#: 15647
PITTSBURGH, PA
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
IAR
Alabama(10/21/2025)
RR
California(1/19/2023)
IAR
California(5/1/2023)
RR
Florida(6/16/2023)
RR
Georgia(8/15/2024)
IAR
Georgia(8/29/2024)
IAR
Massachusetts(1/2/2025)
RR
Massachusetts(4/21/2025)
RR
Nevada(9/25/2024)
RR
New Jersey(11/15/2024)
RR
New York(1/19/2023)
IAR
New York(5/1/2023)
RR
North Carolina(3/19/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/13/2023
General Securities Representative ExaminationGeneral 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.
