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Nicholas Loberg

Some features on this profile are disabled
CRD#: 6778518
NL

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.

Nicholas Loberg, who also goes by Nicholas Patrick Loberg, Nicholas Loberg, Nick Loberg, was a registered financial professional .

Nicholas is a previously registered financial professional and started their career in finance in 2017. Nicholas had 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"?
No

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.
The advisor shows no other business activity.

Blog Corner

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®
None

Experience

Past

July 12, 2024 - March 20, 2026

CONCORDE ASSET MANAGEMENT, LLC

RIA
CRD#: 140367
ANN ARBOR, MI
Past

July 12, 2024 - March 20, 2026

CONCORDE INVESTMENT SERVICES, LLC

BD
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/10/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/17/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/9/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/20/2017
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/7/2023
General Securities Principal Examination

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)
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)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV WRAP FEE BROCHURE (3/31/2025)
ADV PART 2 BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts3,207
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#: 140367

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