ET
Erica M. Traulsen
CONCORDE ASSET MANAGEMENT
Roseville, CA 95678
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CRD#: 7702621
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Professional summary
Erica Maureen Traulsen, who also goes by Erica Maureen Wilens, is a registered financial advisor currently at CONCORDE ASSET MANAGEMENT, LLC located in Roseville, California and CONCORDE INVESTMENT SERVICES, LLC located in Ann Arbor, Michigan.
Erica is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Erica has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Erica Maureen Wilens
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 Asset Management, Investment related, Ann Arbor, MI, Investment Advisory Services, Investment Advisor Representative, servicing of advisory clients. Start date 10/16/2023, 1-5 hours/month during non trading hours, 1-5 hours/month during trading hours. 2) Legacy Investment & Real Estate LLC. Investment related, Roseville CA, DBA for securities related activities, making investment recommendations to clients who would like to participate in Private Placement real estate investments, Registered Representative, Start date 01/27/2023, 11-20 hours/month during non business hours. 21-40 hours/month during business hours. 3) Financial Planning Association of Northern California. Non-investment related. Elk Grove, CA. Director of membership. Start Date: 9/2024. 1-5 hours/month during non trading hours, 1-5 hours/month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Erica Maureen Traulsen'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
October 17, 2023 - Present
CONCORDE ASSET MANAGEMENT, LLC
Office #1: 1100 Melody Lane Suite 223, Roseville, CA 95678RIA
CRD#: 140367
Roseville, CA
Current
April 12, 2023 - Present
CONCORDE INVESTMENT SERVICES, LLC
Office #1: 3909 Research Park Drive Suite 200, Ann Arbor, MI 48108BD
CRD#: 151604
Ann Arbor, MI
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
California(10/17/2023)
IAR
California(10/17/2023)
RR
Florida(4/26/2024)
RR
Idaho(6/21/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/12/2023
General Securities Representative ExaminationGeneral 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
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Company Information
CONCORDE ASSET MANAGEMENT, LLC
CRD#: 140367Roseville, CA 95678TRUST BUT VERIFY
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