HA
Herbert Alston
CONCORDE INVESTMENT SERVICES
Oakland, CA 94602
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CRD#: 5294132
HA
Professional summary
Herbert Alston is a registered financial professional currently at CONCORDE INVESTMENT SERVICES, LLC located in Oakland, California.
Herbert is registered as a RR (Registered Representative) and started their career in finance in 2008. Herbert has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Herbert Alston'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®
NoneExperience
Current
January 28, 2013 - Present
CONCORDE INVESTMENT SERVICES, LLC
Office #1: 1425 Leimert Blvd Suite 301, Oakland, CA 94602BD
CRD#: 151604
Oakland, CA
Past
February 22, 2011 - August 12, 2011
ALLIED BEACON PARTNERS, INC.
BD
CRD#: 46227
RICHMOND, VA
Past
August 30, 2010 - February 22, 2011
AMERICAN BEACON PARTNERS, INC.
BD
CRD#: 15791
EAU CLAIRE, WI
Past
April 23, 2008 - October 2, 2009
CHRYSALIS CAPITAL GROUP, LLC
BD
CRD#: 138499
SAN FRANCISCO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(7/30/2018)
RR
Arizona(11/16/2016)
RR
California(1/29/2013)
RR
Colorado(4/3/2019)
RR
Connecticut(10/20/2025)
RR
Florida(1/11/2016)
RR
Georgia(1/12/2016)
RR
Hawaii(7/6/2022)
RR
Idaho(5/2/2016)
RR
Illinois(7/31/2024)
RR
Indiana(6/27/2024)
RR
Iowa(5/19/2025)
RR
Kansas(12/20/2022)
RR
Kentucky(10/4/2024)
RR
Massachusetts(5/3/2018)
RR
Minnesota(12/7/2023)
RR
Mississippi(7/24/2023)
RR
Nevada(4/22/2020)
RR
New Jersey(2/24/2016)
RR
New Mexico(11/16/2016)
RR
New York(1/13/2016)
RR
North Dakota(5/30/2023)
RR
Ohio(1/6/2016)
RR
Oklahoma(10/28/2022)
RR
Oregon(6/29/2016)
RR
Pennsylvania(9/17/2020)
RR
South Dakota(6/8/2021)
RR
Tennessee(2/12/2021)
RR
Texas(11/8/2018)
RR
Utah(1/16/2018)
RR
Virginia(6/1/2016)
RR
Washington(4/12/2016)
RR
Wyoming(1/22/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CONCORDE INVESTMENT SERVICES, LLC
CONCORDE INVESTMENT SERVICES, LLC
CRD#: 151604 / SEC#: , 8-68388
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
3909 Research Park Drive Suite 200, Ann Arbor, MI 48108
Mailing Address
3909 Research Park Drive Suite 200, Ann Arbor, MI 48108
Phone number
(248) 428-8008
Established
Michigan since 07/10/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONCORDE HOLDINGS INC. | OWNER / MANAGING MEMBER | |
| ARNOLD, AMY PERRYMAN | CHIEF DUE DILIGENCE OFFICER | 3037672 |
| DELONGCHAMP, DANIELLE LEIGH | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4901901 |
| GAKENHEIMER, JOHN HERBERT | REGISTERED OPTIONS PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL | 810171 |
| HOFER, KATHLEEN ANN | FINOP, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1087639 |
| LOBERG, NICHOLAS | DIRECTOR OF BROKERAGE OPERATIONS | 6778518 |
| MCMURRY, KEITH | CHIEF OPERATIONS OFFICER | 5647966 |
| STACEY, JENNIFER LEIGH | CHIEF COMPLIANCE OFFICER | 2536581 |
| WOOLSON, NICOLE RENEE | DIRECTOR OF COMPLIANCE | 3143232 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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Company Information
CONCORDE INVESTMENT SERVICES, LLC
CRD#: 151604Oakland, CA 94602TRUST BUT VERIFY
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