Shannon Arndt

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CRD#: 4844123

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Shannon Arndt, who also goes by Shannon Marie Barnes, was a registered financial professional .

Shannon is a previously registered financial professional and started their career in finance in 2005. Shannon had worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Shannon Marie Barnes

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) CONCORDE HOLDINGS, INC., HOLDING COMPANY FOR THE BROKER DEALER (CONCORDE INVESTMENT SERVICES, LLC) RIA (CONCORDE ASSET MANAGEMENT, LLC) AND INSURANCE AGENCY (CONCORDE INSURANCE AGENCY, INC.) AFFILIATES. Ann Arbor MI. INVESTMENT RELATED. Current position: Consultant. Start date: November 2024. Part time during trading hours. 2) Shannon Arndt Consulting, LLC. Investment Related. Newport, MI. Currently position: Owner. Backoffice Operations and Compliance. Start Date: November 2024. Part time during trading hours, 1-5 hours/month during non-trading hours.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 18, 2024 - August 6, 2025

CONCORDE ASSET MANAGEMENT, LLC

RIA

CRD#: 140367

ANN ARBOR, MI

Past

April 9, 2014 - August 6, 2025

CONCORDE INVESTMENT SERVICES, LLC

CRD#: 151604

Ann Arbor, MI

Past

January 5, 2005 - April 19, 2007

FUNDS DISTRIBUTOR, LLC

CRD#: 7174

BIRMINGHAM, 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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/15/2024

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: 4/8/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/16/2004

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/6/2017

General Securities Principal Examination

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

Shannon Arndt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CONCORDE INVESTMENT SERVICES, LLC

FUNDS DISTRIBUTOR, LLC

Primary Firm SEC Registration

CONCORDE ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/15/2024

SIE

Date: 10/1/2018

Series 7

Date: 4/8/2014

Series 6

Date: 12/16/2004

Series 24

Date: 4/6/2017

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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