DG
David B. Guevara
CONCORDE ASSET MANAGEMENT
Valencia, CA 91384
Some features on this profile are disabled
CRD#: 5600921
DG
Professional summary
David Brian Guevara, who also goes by David Brian Guevara, David Guevara, is a registered financial advisor currently at CONCORDE ASSET MANAGEMENT, LLC located in Valencia, California and CONCORDE INVESTMENT SERVICES, LLC located in Ann Arbor, Michigan.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. David has worked at 8 firms and has passed the Series 65, Series 63, Series 22TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Brian Guevara | David Guevara
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) CENTURION STRATEGIC ADVISORS INC., INVESTMENT RELATED, Valencia CA, DBA FOR SECURITIES & INSURANCE BUSINESS - MANAGING DIRECTOR/OWNER - marketing of investment and insurance products, marketing of ERC, student loan and debt services. START 02/2019 - 6-10 hours/month during non trading hours, FULL TIME DURING TRADING HOURS 2) WORLD FINANCIAL GROUP - INVESTMENT RELATED - CASTAIC, CA - INSURANCE - AGENT/INDEPENDENT CONTRACTOR - START 07/2008 - 1-5 HRS/MONTH DURING TRADING HOURS, MARKETING & SALES OF FIXED/INDEXED INSURANCE PRODUCTS; 3) CONCORDE ASSET MANAGEMENT, LLC. INVESTMENT RELATED - START 04/2021 - SAME ADDRESS FOR CONSTELLATION RD - ADVISE CLIENTS ON IA SOLUTIONS - 20 HOURS/WEEK DURING TRADING HOURS;
CRS (Client Relationship Summary) - RIA
Click below to view David Brian Guevara'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
April 21, 2021 - Present
CONCORDE ASSET MANAGEMENT, LLC
Office #1: 28368 Constellation Road Bldg. 398, Suite 105, Valencia, CA 91384RIA
CRD#: 140367
Valencia, CA
Current
April 21, 2021 - Present
CONCORDE INVESTMENT SERVICES, LLC
Office #1: 3909 Research Park Drive Suite 200, Ann Arbor, MI 48108BD
CRD#: 151604
Ann Arbor, MI
Past
December 23, 2020 - April 28, 2021
SCF INVESTMENT ADVISORS, INC.
RIA
CRD#: 123608
VALENCIA, CA
Past
December 23, 2020 - April 28, 2021
SCF SECURITIES, INC.
BD
CRD#: 47275
VALENCIA, CA
Past
February 22, 2019 - December 23, 2020
PACKERLAND BROKERAGE SERVICES, INC.
RIA
CRD#: 37031
Valencia, CA
Past
February 22, 2019 - December 23, 2020
PACKERLAND BROKERAGE SERVICES, INC.
BD
CRD#: 37031
Valencia, CA
Past
January 6, 2012 - February 26, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
VALENCIA, CA
Past
January 6, 2012 - February 26, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
VALENCIA, CA
Past
November 19, 2010 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
TORRANCE, CA
Past
January 30, 2009 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
TORRANCE, CA
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".
CA
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)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.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
Arizona(9/17/2021)
RR
California(4/21/2021)
IAR
California(4/21/2021)
RR
Colorado(11/15/2022)
RR
Florida(6/30/2023)
RR
Idaho(4/21/2021)
IAR
Idaho(4/21/2021)
RR
Illinois(11/27/2024)
RR
Massachusetts(12/17/2024)
RR
Minnesota(4/23/2024)
RR
New Mexico(11/29/2024)
RR
Oklahoma(11/4/2024)
RR
Oregon(11/15/2022)
RR
South Carolina(12/13/2024)
RR
Texas(11/15/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/14/2021
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CA
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
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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
79
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.
