James J. Wang
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.
James Jen-cheng Wang, who also goes by Jen-cheng Wang, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2007. James had worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2015 - December 31, 2016
CONCORDE ASSET MANAGEMENT, LLC
August 31, 2015 - December 31, 2016
CONCORDE INVESTMENT SERVICES, LLC
November 1, 2012 - October 14, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 24, 2012 - October 14, 2013
TD AMERITRADE, INC.
October 8, 2012 - October 14, 2013
TD AMERITRADE, INC.
March 22, 2012 - October 2, 2012
J.P. TURNER & COMPANY, L.L.C.
March 11, 2011 - March 21, 2012
BLUEROCK CAPITAL MARKETS LLC
January 7, 2010 - February 22, 2011
TNP SECURITIES, LLC
August 25, 2009 - December 31, 2009
CABIN SECURITIES, INC.
January 13, 2009 - August 25, 2009
CABIN SECURITIES, INC.
September 17, 2008 - November 26, 2008
WILSON-DAVIS & CO., INC.
April 16, 2007 - August 14, 2008
STIRA CAPITAL MARKETS GROUP, LLC
February 16, 2007 - April 18, 2007
AFA FINANCIAL GROUP, LLC
Primary Firm SEC Registration
CONCORDE ASSET MANAGEMENT, LLC
CRD#: 140367 / SEC#: 801-74519
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CONCORDE ASSET MANAGEMENT, LLC
CRD#: 140367 / SEC#: 801-74519
Contact information
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.
