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GE

Gaston G. Escudero

CONCORDE INVESTMENT SERVICES
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 6340349
GE

Professional summary

Gaston Guillermo Escudero, who also goes by Gaston Guillermo Escudero, is a registered financial professional currently at CONCORDE INVESTMENT SERVICES, LLC located in Newport Beach, California.

Gaston is registered as a RR (Registered Representative) and started their career in finance in 2015. Gaston has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gaston Guillermo Escudero

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) - BD

Click below to view Gaston Guillermo Escudero'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

May 2, 2022 - Present

CONCORDE INVESTMENT SERVICES, LLC

Office #1: 620 Newport Center Drive Suite 1100, Newport Beach, CA 92660
BD
CRD#: 151604
Newport Beach, CA
Past

January 16, 2019 - April 29, 2022

NEXPOINT SECURITIES, INC.

BD
CRD#: 165013
DALLAS, TX
Past

October 9, 2017 - January 2, 2019

BLUEROCK CAPITAL MARKETS LLC

BD
CRD#: 136974
Newport Beach, CA
Past

January 15, 2016 - June 9, 2017

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

August 6, 2015 - January 11, 2016

REALTY CAPITAL SECURITIES, LLC

BD
CRD#: 145454
NEW YORK, NY
Past

May 21, 2015 - July 1, 2015

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
ORANGE, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(9/3/2024)
RR
California
(5/2/2022)
RR
Florida
(6/6/2023)
RR
Illinois
(12/26/2023)
RR
Kentucky
(11/17/2023)
RR
Maryland
(5/2/2022)
RR
Ohio
(1/24/2025)
RR
Oregon
(5/24/2023)
RR
Pennsylvania
(5/2/2022)
RR
Texas
(8/31/2022)
RR
Virginia
(9/13/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 6/23/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/21/2015
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CONCORDE INVESTMENT SERVICES, LLC
CONCORDE INVESTMENT SERVICES, LLC

CRD#: 151604 / SEC#: , 8-68388

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
3909 Research Park Drive Suite 200, Ann Arbor, MI 48108
Mailing Address
3909 Research Park Drive Suite 200, Ann Arbor, MI 48108
Phone number
(248) 428-8008
Established
Michigan since 07/10/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CONCORDE HOLDINGS INC.OWNER / MANAGING MEMBER
ARNOLD, AMY PERRYMANCHIEF DUE DILIGENCE OFFICER3037672
DELONGCHAMP, DANIELLE LEIGHPRESIDENT AND CHIEF EXECUTIVE OFFICER4901901
GAKENHEIMER, JOHN HERBERTREGISTERED OPTIONS PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL810171
HOFER, KATHLEEN ANNFINOP, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER1087639
LOBERG, NICHOLASDIRECTOR OF BROKERAGE OPERATIONS6778518
MCMURRY, KEITHCHIEF OPERATIONS OFFICER5647966
STACEY, JENNIFER LEIGHCHIEF COMPLIANCE OFFICER2536581
WOOLSON, NICOLE RENEEDIRECTOR OF COMPLIANCE3143232

Disclosures

Regulatory Event4

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 INVESTMENT SERVICES, LLC

CRD#: 151604Newport Beach, CA 92660

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