PM
Preston P. Mokris
CONCORDE ASSET MANAGEMENT
Pinehurst, NC
Some features on this profile are disabled
CRD#: 5179201
PM
Professional summary
Preston Paul Mokris, CFP® is a registered financial advisor currently at CONCORDE ASSET MANAGEMENT, LLC located in Pinehurst, North Carolina and CONCORDE INVESTMENT SERVICES, LLC located in Pinehurst, North Carolina.
Preston is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Preston 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) Concorde Asset Management, Investment Related, Pinehurst NC, 28374, Investment Advisor Representative, Sales and Service, Start Date: January 2015. 1-5 hours/month during non trading and trading hours. 2) Preston P Mokris LLC, Investment Related, Personal LLC to run Concorde Investment Services, Concorde Asset Management and Concorde Insureance Agency through. The LLC owns 50% of 1031 EXCHANGE DST, LLC. Raleigh NC. Prospecting for clients to do a 1031 Exchange into a DST for Concorde Investment Services. Start Date January 2015, Full time during trading hours. 3) NC INSURANCE LICENSE. Investment Related. Licensed to process insurance in North Carolina. Rep is registered in North Carolina with an insurance license. He does not solicit business but would write business if the client inquired about needing insurance. 4) Reef Asset Advisors, Investment Related, Raleigh NC. Independent Advisor doing business as Reef Asset Advisors to prospect clients for 1031 exchanges into Delaware Statutory Trusts and potential wealth management clients. Business is strictly for Concorde Investment Services and Concorde Asset Management. No client conflict. Start Date January 2015, 11-20 hours/month during not business hours, 21-40 hours a month during business hours. 5) Concorde Insurance Agency, Investment Related. Raleigh NC, Insurance Sales. 1-5 hours/month outside business hours, 1-5 hours/month during business hours. Start Date January 2015 6) Four Oaks TV, LLC, Investment related, Start date October 2019, 1 of 4 owners of two mobile home parks located in Thomasville, NC. Owner and help with high level operations, no involvement in day to day duties. 1-5 hours/month during trading hours. 7) Four Oaks Green Acres, LLC. Investment related. Start date: May 2022. Manager/Member. 1 of 4 owners in the mobile home park. Very little duties as there is an onsite manager. Mars Hill, NC. 1-5 hours/month during trading hours. 8) 108 Hoffman Beach Rd, Invsestment related, Atlantic Beach NC. Joint Owner of vacation rental at beach, short term rentals. Start Date January 2023. 1-5 hours/ month during non trading hours, 1-5 hours/month during trading hours. 9) 1031 Exchange DST, LLC. Investment related. Pinehurst, NC. Prospect clients for 1031 exchanges into Delaware Statutory Trusts. Start Date January 2015. 21-40 hours/month during non-trading hours. >40 hours/month during trading hours. 10) Four Oaks PG, LLC. Non-investment related. Pinehurst, NC. LLC opened for investment property purchase but is currently inactive. Manager, Start date October 2025. 1-5 hours/month during trading ours, 1-5 hours a month during non-trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Preston Paul Mokris'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®
Experience
Current
January 7, 2015 - Present
CONCORDE ASSET MANAGEMENT, LLC
RIA
CRD#: 140367
Pinehurst, NC
Current
January 2, 2015 - Present
CONCORDE INVESTMENT SERVICES, LLC
BD
CRD#: 151604
Pinehurst, NC
Past
March 4, 2014 - January 7, 2015
PROSPERA FINANCIAL SERVICES, INC.
BD
CRD#: 10740
RALEIGH, NC
Past
January 22, 2014 - January 7, 2015
PROSPERA FINANCIAL SERVICES, INC.
RIA
CRD#: 10740
RALEIGH, NC
Past
June 18, 2008 - February 5, 2013
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
RALEIGH, NC
Past
April 30, 2008 - February 5, 2013
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
RALEIGH, NC
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
Florida(1/18/2016)
RR
New York(6/20/2016)
RR
North Carolina(1/2/2015)
IAR
North Carolina(1/7/2015)
RR
Virginia(8/26/2024)
Exams
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
