James W. Concidine

MAIN MANAGEMENT

SAN FRANCISCO, CA 94111

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CRD#: 51869

Professional summary

James Wesley Concidine is a registered financial advisor currently at MAIN MANAGEMENT, LLC located in San Francisco, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1970. James has worked at 4 firms and has passed the Series 63, PC, Series 000 and Series 1 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.

CHIEF INVESTMENT OFFICER OF MMM FAMILY OFFICE, A FAMILY INVESTMENT OFFICE. SEE EMPLOYMENT HISTORY FOR DETAILS. 80% OF TIME SPENT WITH MMM.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Wesley Concidine'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

August 15, 2002 - Present

MAIN MANAGEMENT, LLC

Office #1: 655 Montgomery Street Suite 1910, San Francisco, CA 94111

RIA

CRD#: 120361

SAN FRANCISCO, CA

Past

April 5, 1983 - April 1, 1992

MONTGOMERY SECURITIES

CRD#: 4357

Past

May 5, 1978 - April 12, 1983

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

August 25, 1970 - May 5, 1978

DAIN, KALMAN & QUAIL, INCORPORATED

CRD#: 202

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".

MAIN MANAGEMENT, LLC

CRD#: 120361 / SEC#: 801-61113

RIA

Registered Investment Advisory firm - (4/30/2002 Approved)

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.

Highlighted states indicate IAR registrations

IAR

California
(8/15/2002)

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

Series 63

Date: 11/11/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

PC

Date: 5/1/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 000

Date: 8/12/1970

General Securities Principal Examination

General Industry/Product Exam

Series 1

Date: 8/12/1970

Registered Representative Examination

Current Firm

MAIN MANAGEMENT, LLC

CRD#: 120361 / SEC#: 801-61113

RIA

Registered Investment Advisory firm - (4/30/2002 Approved)

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Contact information

Main Address

601 California Street Suite 300, San Francisco, CA 94108

Mailing Address

Phone number

(415) 217-5800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MAIN MANAGEMENT FORM ADV PART 2A BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	314
AUM (Assets Under Management)	$ 1,649,126,692

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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Firm Stability Insights

James W. Concidine

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Wesley Concidine's CRS (Customer Relationship Summary).

Certified licenses

Experience

MONTGOMERY SECURITIES

DAIN RAUSCHER INCORPORATED

DAIN, KALMAN & QUAIL, INCORPORATED

Primary Firm SEC Registration

MAIN MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/11/1991

PC

Date: 5/1/1977

Series 000

Date: 8/12/1970

Series 1

Date: 8/12/1970

Current Firm

MAIN MANAGEMENT, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MAIN MANAGEMENT, LLC

TRUST BUT VERIFY

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