Forrest J. Padilla

CONCORDE ASSET MANAGEMENT

San Diego, CA

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CRD#: 4804740

Professional summary

Forrest Jefferson Padilla, CFP® is a registered financial advisor currently at CONCORDE ASSET MANAGEMENT, LLC located in San Diego, California and CONCORDE INVESTMENT SERVICES, LLC located in San Diego, California.

Forrest is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Forrest has worked at 4 firms and has passed the Series 66, 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)INVESTMENT ADVISOR AND REGISTERED REPRESENTATIVE OF DBA "FINANCIAL DESIGNS, LTD" OFFERING SECURITIES AND ADVISORY SERVICES SINCE 2005. INVESTMENT RELATED. 50% TIME SPENT. BUSINESS CONDUCTED AT ADDRESS OF RECORD. (2)CO-HOST OF THE 'FINANCIAL ADVISORS' WEEKLY RADIO SHOW. 1 HOUR/WEEK SPENT, BROADCAST THROUGH KOGO AM 600 IN SAN DIEGO. (3) CONCORDE ASSET MANAGEMENT, LLC, INVESTMENT RELATED, LIVONIA, MI, INVESTMENT ADVISOR REP OFFERING INVESTMENT ADVISORY SALES AND SERVICE. FULL TIME. (4) FINANCIAL DESIGNS PLANNING, INC., INV RELATED, START DATE: MARCH 2020, SAN DIEGO, CA. FINANCIAL PLANNING, INVESTMENT ADVICE, SECURITIES SALES, SUPPORT OTHER RR AND IAR OF BRANCH. 1-5 HOURS/MONTH DURING BUSINESS HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Forrest Jefferson Padilla'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®

CFP^®

Certified Financial Planner

Start date: 2007

Experience

Current

August 1, 2018 - Present

CONCORDE ASSET MANAGEMENT, LLC

Office #2: 5075 Shoreham Place Suite 230, San Diego, CA 92122

RIA

CRD#: 140367

San Diego, CA

Current

August 1, 2018 - Present

CONCORDE INVESTMENT SERVICES, LLC

Office #1: 5075 Shoreham Place Suite 230, San Diego, CA 92122

CRD#: 151604

San Diego, CA

Past

August 7, 2012 - July 31, 2018

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

SAN DIEGO, CA

Past

May 17, 2005 - July 30, 2014

FINANCIAL DESIGNS LTD.

RIA

CRD#: 135426

SAN DIEGO, CA

Past

February 8, 2005 - July 31, 2018

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

SAN DIEGO, CA

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

Arizona
(8/1/2018)

California
(8/1/2018)

IAR

California
(8/1/2018)

Georgia
(8/1/2018)

IAR

Georgia
(1/27/2021)

Hawaii
(8/1/2018)

IAR

Hawaii
(3/6/2019)

Illinois
(8/1/2018)

IAR

Illinois
(3/6/2019)

Massachusetts
(8/1/2018)

Missouri
(4/6/2021)

Nevada
(3/10/2020)

New Jersey
(7/11/2023)

IAR

New Jersey
(7/11/2023)

New York
(5/17/2024)

IAR

New York
(5/17/2024)

North Carolina
(8/2/2018)

IAR

North Carolina
(10/12/2022)

Rhode Island
(8/1/2018)

IAR

Rhode Island
(3/6/2019)

South Dakota
(8/1/2018)

Texas
(8/1/2018)

IAR

Texas
(9/7/2018)

Virginia
(8/1/2018)

Washington
(8/1/2018)

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 66

Date: 2/28/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/7/2005

General Securities Representative 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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Forrest J. Padilla

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Forrest Jefferson Padilla's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONCORDE INVESTMENT SERVICES, LLC

INDEPENDENT FINANCIAL GROUP, LLC

FINANCIAL DESIGNS LTD.

INDEPENDENT FINANCIAL GROUP, LLC

Primary Firm SEC Registration

CONCORDE ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/28/2005

SIE

Date: 10/1/2018

Series 7

Date: 2/7/2005

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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