Joseph V. Levy

CONCORDE ASSET MANAGEMENT

Setauket, NY 11733

Some features on this profile are disabled

CRD#: 5391338

Professional summary

Joseph Victor Levy, who also goes by Joseph V Levy, is a registered financial advisor currently at CONCORDE ASSET MANAGEMENT, LLC located in Setauket, New York and CONCORDE INVESTMENT SERVICES, LLC located in Setauket, New York.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Joseph has worked at 2 firms and has passed the Series 66, SIE and Series 7TO exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph V Levy

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. Fortitude Investment Group, DBA for Investment Services, Investment Related, 1699 Van Ness Ave , San Francisco CA 94109, Start date: January 2023, full time during trading hours. 2. Concorde Asset Management, Investment related, Ann Arbor, MI. Investment Adviser rep for RIA firm. Start date: January 2023. Part time during trading hours. 3. Compass Commercial, Investment related, 1699 Van Ness Ave, San Francisco CA 94109, Vice President/Real Estate Agent, represent buyers and sellers of commericial multifamily properties. Start date 06/11/2013, 40 hours/month during non trading hours, 40 hours/month during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Victor Levy'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

January 31, 2023 - Present

CONCORDE ASSET MANAGEMENT, LLC

Office #1: 65 Route 25a, Setauket, NY 11733

RIA

CRD#: 140367

Setauket, NY

Current

January 1, 2023 - Present

CONCORDE INVESTMENT SERVICES, LLC

Office #1: 61 Route 25a, Setauket, NY 11733

CRD#: 151604

Setauket, NY

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(1/31/2023)

California
(1/31/2023)

IAR

California
(1/31/2023)

Florida
(1/31/2023)

Louisiana
(5/30/2024)

Nevada
(1/31/2023)

New Jersey
(1/31/2023)

New York
(1/31/2023)

Oregon
(1/31/2023)

IAR

Rhode Island
(1/8/2025)

Rhode Island
(1/9/2025)

Washington
(1/31/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/23/2023

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2022

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7TO

Date: 12/13/2022

General Securities Representative Examination

SRO Registrations

FINRA

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Randy Brickman

PARK AVENUE SECURITIES LLC

IAR

NORTH WOODMERE, NY

Harlan Fischer

CETERA INVESTMENT ADVISERS LLC

IAR

SETAUKET, NY

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joseph V. Levy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Victor Levy's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONCORDE ASSET MANAGEMENT, LLC

CONCORDE INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

CONCORDE ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/23/2023

SIE

Date: 12/31/2022

Series 7TO

Date: 12/13/2022

FINRA

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

Similar Advisors