MP
Michael D. Prince
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CRD#: 5677970
MP
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.
Michael Drew Prince, who also goes by Mike Drew Prince, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2009. Michael had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mike Drew Prince
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) 10% PASSIVE OWNER OF "DEL REY PARTNERSHIP" PROPERTY MANAGEMENT. NOT INVESTMENT RELATED. (2) 50% OWNER OF "MMP PROPERTIES" RENTAL PROPERTY MANAGEMENT. NOT INVESTMENT RELATED. LESS THAN 1% OF TIME SPENT. (3) INVESTMENT ADVISOR AND REGISTERED REPRESENTATIVE OF DBA "FINANCIAL DESIGNS, LTD" OFFERING SECURITIES, ADVISORY AND INSURANCE SERVICES SINCE 2014. INVESTMENT RELATED. 90% TIME SPENT. BUSINESS CONDUCTED AT ADDRESS OF RECORD. 1-5 hours spend working during non-business hours and 40+ during business hours. (4) Westland Insurance, Investment related, San Diego, CA, Insurance agent conducting insurance related activities. Start Date 11/01/2023, 1-5 hours/month during trading hours. (5) PART TIME HANDYMAN, NON-INVESTMENT RELATED. 2% TIME SPENT. BUSINESS CONDUCTED FROM HOME ADDRESS ON FILE Start Date 03/01/2018, 1-5 hours/month during non business hours, 1-5 hours during business hours. (6) CONCORDE ASSET MANAGEMENT, LLC, INVESTMENT RELATED, LIVONIA, MI, INVESTMENT ADVISOR REP OFFERING INVESTMENT ADVISORY SALES AND SERVICE. FULL TIME. Start Date 11/01/2016 (7) JD Prince Management, LLC. Investment related. 25% owner of real estate rental. Chula Vista, CA. 1-5 hours spent/month during trading hours. (8) Financial Designs LTD, Investment related, 5075 Shoreham Place #200, San Diego CA 92122, financial advisor and agent, advise and sell financial services products and insurance products. Start Date 11/01/2023, 1-5 hours/month during non business hours and 40 hours during business hours.
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®
NoneExperience
Past
August 1, 2018 - June 6, 2023
CONCORDE ASSET MANAGEMENT, LLC
RIA
CRD#: 140367
San Diego, CA
Past
August 1, 2018 - June 6, 2023
CONCORDE INVESTMENT SERVICES, LLC
BD
CRD#: 151604
San Diego, CA
Past
November 19, 2014 - July 31, 2018
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
SAN DIEGO, CA
Past
November 18, 2014 - July 31, 2018
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
SAN DIEGO, CA
Past
October 6, 2009 - November 4, 2014
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SAN DIEGO, CA
Past
August 18, 2009 - November 4, 2014
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
SAN DIEGO, 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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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.
