NL
Nicholas P. Loberg
CONCORDE ASSET MANAGEMENT
Ann Arbor, MI 48108
Some features on this profile are disabled
CRD#: 6778518
NL
Professional summary
Nicholas Patrick Loberg, who also goes by Nicholas Patrick Loberg, Nicholas Loberg, Nick Loberg, is a registered financial advisor currently at CONCORDE ASSET MANAGEMENT, LLC located in Ann Arbor, Michigan and CONCORDE INVESTMENT SERVICES, LLC located in Ann Arbor, Michigan.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Nicholas has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas Patrick Loberg | Nicholas Loberg | Nick Loberg
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) NICHOLAS LOBERG - INSURANCE AGENT - NON-VARIABLE INSURANCE - Ann Arbor, MI - SINCE 05/2021 - INVESTMENT RELATED. 2) Concorde Holdings, Inc., Investment related. Ann Arbor, MI, Holding company of Broker Dealer affiliate. Position - Director of Brokerage Operations. Start date: July 2024. Full time during trading hours. 3) Concorde Asset Management, LLC, Investment related. Ann Arbor, MI, RIA firm of Broker Dealer affiliate. Position - Operations Manager. Start date: July 2024. Full time during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Patrick Loberg'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
July 12, 2024 - Present
CONCORDE ASSET MANAGEMENT, LLC
Office #1: 3909 Research Park Drive Suite 200, Ann Arbor, MI 48108RIA
CRD#: 140367
Ann Arbor, MI
Current
July 12, 2024 - Present
CONCORDE INVESTMENT SERVICES, LLC
Office #1: 3909 Research Park Drive Suite 200, Ann Arbor, MI 48108BD
CRD#: 151604
Ann Arbor, MI
Past
September 21, 2022 - June 26, 2024
SPECTRUM FINANCIAL RESOURCES
RIA
CRD#: 127453
TROY, MI
Past
May 23, 2022 - May 24, 2022
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
RIA
CRD#: 20804
TROY, MI
Past
May 23, 2022 - July 12, 2024
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
TROY, MI
Past
August 13, 2021 - May 5, 2022
CORECAP INVESTMENTS, LLC
BD
CRD#: 37068
SOUTHFIELD, MI
Past
January 28, 2021 - May 5, 2022
CORECAP ADVISORS
RIA
CRD#: 158819
Southfield, MI
Past
February 10, 2020 - December 3, 2020
HARBOR LIGHT PLANNING
RIA
CRD#: 129022
WIXOM, MI
Past
July 20, 2017 - August 16, 2019
GWN SECURITIES INC.
BD
CRD#: 128929
OMAHA, NE
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
Michigan(7/12/2024)
IAR
Michigan(7/12/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/9/2022
General Securities 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.
