Neal M. Woodard

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CRD#: 5461015

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.

Neal Miller Woodard, who also goes by Neil Miller Woodard, was a registered financial professional .

Neal is a previously registered financial professional and started their career in finance in 2008. Neal had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Neil Miller Woodard

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 20, 2015 - December 31, 2015

CONCORDE ASSET MANAGEMENT, LLC

RIA

CRD#: 140367

HARRISONBURG, VA

Past

January 5, 2015 - December 7, 2015

CONCORDE INVESTMENT SERVICES, LLC

CRD#: 151604

Harrisonburg, VA

Past

January 7, 2014 - January 8, 2015

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

HARRISONNBURG, VA

Past

March 19, 2012 - December 31, 2014

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

HARRISONNBURG, VA

Past

January 20, 2012 - January 7, 2014

MORSE CAPITAL PARTNERS, LLC

RIA

CRD#: 146383

RICHMOND, VA

Past

January 10, 2012 - March 30, 2012

CENTAURUS FINANCIAL, INC.

CRD#: 30833

HARRISONBURG, VA

Past

March 12, 2008 - December 31, 2011

PACIFIC WEST FINANCIAL CONSULTANTS INC

RIA

CRD#: 108728

RENTON, WA

Past

February 18, 2008 - December 31, 2011

PACIFIC WEST SECURITIES, INC.

CRD#: 6390

HARRISONBURG, VA

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 66

Date: 3/4/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/7/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/15/2008

General Securities Representative Examination

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)

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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

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.

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Advisor Monitoring

Firm Stability Insights

Neal M. Woodard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CONCORDE INVESTMENT SERVICES, LLC

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

MORSE CAPITAL PARTNERS, LLC

CENTAURUS FINANCIAL, INC.

PACIFIC WEST FINANCIAL CONSULTANTS INC

PACIFIC WEST SECURITIES, INC.

Primary Firm SEC Registration

CONCORDE ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/4/2008

SIE

Date: 12/7/2015

Series 7

Date: 2/15/2008

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

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