AS
Adam J. Simon
CONCORDE ASSET MANAGEMENT
San Francisco, CA
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CRD#: 7723707
AS
Professional summary
Adam Justin Simon, who also goes by Adam Justin Simon, is a registered financial advisor currently at CONCORDE ASSET MANAGEMENT, LLC located in San Francisco, California and CONCORDE INVESTMENT SERVICES, LLC located in Setauket, New York.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Adam has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Adam Justin Simon
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) NOMISIMON, INC., NON-INVESTMENT RELATED, 1456 SACRAMENTO ST #1 SAN FRANCISCO, CA 94109, REAL ESTATE CONSULTING, PRESIDENT, I PROVIDE STRATEGY AND CONSULTING SERVICES TO OWNERS, BUYERS AND SELLERS OF REAL ESTATE, 5 HRS PER MONTH OUTSIDE OF SECURITIES TRADING HOURS, 01/2018 2) JOHN P. SIMON, INC., NON-INVESTMENT RELATED, 285 GRANDE WAY T303, NAPLES, FL 34110, HOLDING COMPANY, DIRECTOR, IT IS MY FATHER'S SECURITIES HOLDING COMPANY. I AM AN INDEPENDENT OUTSIDE DIRECTOR OF THE BOARD. NO OTHER INVOLVEMENT. 0 HOURS, 6/1/2022 3) Fortitude Investment Group, LLC. Investment related. Setauket, NY. DBA for securities related activities. Registered Representative. Start date: August 2024. Full time during trading hours. 4) Concorde Asset Management, LLC. Investment related. Ann Arbor, MI. Registered Investment Advisory Firm. Investment Advisor Representative. Start date: August 2024. Full time during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Adam Justin Simon'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
August 15, 2024 - Present
CONCORDE ASSET MANAGEMENT, LLC
RIA
CRD#: 140367
San Francisco, CA
Current
August 15, 2024 - Present
CONCORDE INVESTMENT SERVICES, LLC
Office #1: 61 Route 25a, Setauket, NY 11733BD
CRD#: 151604
Setauket, NY
Past
July 28, 2023 - August 12, 2024
REALIZED FINANCIAL, INC.
BD
CRD#: 22333
AUSTIN, TX
Past
April 21, 2023 - August 24, 2023
EMERSON EQUITY LLC
BD
CRD#: 130032
SAN MATEO, 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
California(8/15/2024)
IAR
California(8/15/2024)
RR
Colorado(8/15/2024)
IAR
Connecticut(8/4/2025)
RR
Florida(10/25/2024)
IAR
Florida(8/25/2025)
RR
Georgia(10/25/2024)
RR
Illinois(1/6/2025)
IAR
Illinois(8/4/2025)
RR
Maryland(8/15/2024)
RR
Minnesota(8/15/2024)
RR
Missouri(8/15/2024)
RR
Nevada(5/5/2025)
RR
New Hampshire(5/15/2025)
RR
New Jersey(8/15/2024)
RR
New York(8/15/2024)
IAR
New York(8/6/2025)
RR
North Carolina(8/15/2024)
RR
Pennsylvania(8/15/2024)
RR
Texas(8/15/2024)
IAR
Texas(8/4/2025)
RR
Wisconsin(1/8/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/21/2023
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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Check for any disclosures as part of your thorough research when choosing an advisor.
