RF
Rikki J. Foster
CONCORDE ASSET MANAGEMENT
Roseville, CA 95747
Some features on this profile are disabled
CRD#: 6075051
RF
Professional summary
Rikki Jr Foster, who also goes by Rikki Jr Foster II, Rikki Jr Foster, is a registered financial advisor currently at CONCORDE ASSET MANAGEMENT, LLC located in Roseville, California and CONCORDE INVESTMENT SERVICES, LLC located in Roseville, California.
Rikki is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Rikki has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rikki Jr Foster Ii | Rikki Jr Foster
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) Concorde Insurance Agency, Inc., Investment related, Roseville, CA, Insurance agent conducting insurance related activities. Start date, February 2019, Part time during securities trading hours. 2) Foster Tax Prep and Strategies. Investment related. Start date: January 2021. Roseville, CA. Position: Tax Preparer. 1-5 hours/month during trading hours. 3) Rikki and Kelly Foster Family Foundation, Non-Investment related, 410 Cardini Ct, Lincoln CA 95648. Charitable givings, Member. 1-5 hours/month during non business hours, 1-5 hours/month during business hours. 4) Foster Wealth Strategies LLC, Non-Investment related, 410 Cardinin Ct, Lincoln Ca 95648, shell for proceeds from Concorde 1099 commissions to be dispersed to for tax purposes, manage and operated day to day accounting activities. Owner/CEO. Start date 01/01/2023, 1-5 hours/month during non business hours. 1-5 hours/month during business hours. 5) Concorde Asset Management, Investment related, Roseville, CA 95678, Investment Advisor Representative, asset advisory, Start date 06/01/2023, full time 40 hours during non trading and trading hours. 6) Rest Recovery Wellness, LLC. Non-investment related. Lincoln, CA. Health & Wellness, guides members through routines of treatments offered, supervises employees through training and work with members. Start date 07/30/2024. 21-40 hours/month during non-business hours, 11-20 hours/month during business hours. 7) Regal Stone Wealth Management LLC, Investment related. Roseville, CA 95678. DBA for doing securities business. Founder & President, manage & operates business. Start date: 02/10/2025. Full time during trading and non-trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Rikki Jr Foster'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
June 2, 2023 - Present
CONCORDE ASSET MANAGEMENT, LLC
Office #1: 1430 Blue Oaks Blvd., Suite 268, Roseville, CA 95747RIA
CRD#: 140367
Roseville, CA
Current
February 19, 2019 - Present
CONCORDE INVESTMENT SERVICES, LLC
Office #1: 1430 Blue Oaks Blvd., Suite 268, Roseville, CA 95747BD
CRD#: 151604
Roseville, CA
Past
May 7, 2018 - February 13, 2025
BANGERTER FINANCIAL SERVICES, INC.
RIA
CRD#: 171939
ROSEVILLE, CA
Past
April 18, 2018 - February 14, 2019
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
Citrus Heights, CA
Past
March 1, 2018 - April 19, 2018
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
REDWOOD SHORES, CA
Past
November 1, 2017 - April 19, 2018
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
REDWOOD SHORES, CA
Past
November 2, 2015 - August 24, 2016
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
ROCKLIN, CA
Past
November 2, 2015 - November 7, 2017
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
ROCKLIN, CA
Past
August 14, 2013 - November 10, 2015
WADDELL & REED
RIA
CRD#: 866
SACRAMENTO, CA
Past
July 5, 2013 - November 10, 2015
WADDELL & REED
BD
CRD#: 866
SACRAMENTO, 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
Alaska(5/8/2025)
IAR
Alaska(5/14/2025)
RR
Arizona(2/28/2019)
IAR
Arizona(8/15/2025)
RR
California(2/20/2019)
IAR
California(6/2/2023)
RR
Connecticut(1/5/2021)
RR
Florida(11/12/2021)
RR
Georgia(6/7/2024)
RR
Hawaii(3/11/2024)
IAR
Hawaii(11/8/2024)
RR
Illinois(6/17/2024)
RR
Nevada(6/23/2023)
RR
New Jersey(12/11/2020)
RR
New York(11/20/2020)
RR
Ohio(7/26/2022)
RR
Oregon(2/26/2019)
IAR
Oregon(8/27/2025)
RR
Texas(7/5/2023)
RR
Utah(1/6/2025)
RR
Washington(12/7/2022)
RR
Wisconsin(7/28/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
CONCORDE ASSET MANAGEMENT, LLC
CRD#: 140367Roseville, CA 95747TRUST BUT VERIFY
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