Larry S. Werbel

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CRD#: 828351

Professional summary

Larry Steven Werbel was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Larry is a previously registered financial professional and started their career in finance in 1976. Prior to being barred, Larry had worked at 10 firms, which includes CONCORDE ASSET MANAGEMENT LLC, CONCORDE INVESTMENT SERVICES LLC, SUMMIT BROKERAGE SERVICES INC., EVOLUTION PARTNERS WEALTH MANAGEMENT LLC, SYMPHONY FINANCIAL SERVICES INC., LPL FINANCIAL LLC, FSC SECURITIES CORPORATION, SILVER MOUNTAIN CAPITAL PARTNERS LLC, ASPEN MANAGEMENT GROUP LTD, LINCOLN FINANCIAL DISTRIBUTORS INC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

April 27, 2015 - January 9, 2016

CONCORDE ASSET MANAGEMENT, LLC

RIA

CRD#: 140367

CHAGRIN FALLS, OH

Past

April 16, 2015 - January 9, 2016

CONCORDE INVESTMENT SERVICES, LLC

CRD#: 151604

Chagrin Falls, OH

Past

June 12, 2014 - November 24, 2014

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

CHARGIN FALLS, OH

Past

April 8, 2011 - August 31, 2015

EVOLUTION PARTNERS WEALTH MANAGEMENT, LLC

RIA

CRD#: 154211

CHAGRIN FALLS, OH

Past

March 18, 2011 - April 9, 2014

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

CHARGIN FALLS, OH

Past

March 13, 2009 - February 25, 2011

SYMPHONY FINANCIAL SERVICES, INC.

RIA

CRD#: 125058

AKRON, OH

Past

February 18, 2009 - February 18, 2011

LPL FINANCIAL LLC

CRD#: 6413

CHAGRIN FALLS, OH

Past

June 14, 2006 - February 25, 2009

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

SOLON, OH

Past

August 5, 2003 - February 18, 2009

SILVER MOUNTAIN CAPITAL PARTNERS LLC

RIA

CRD#: 127760

SOLON, OH

Past

November 29, 2002 - January 24, 2007

ASPEN MANAGEMENT GROUP LTD

RIA

CRD#: 111466

BEACHWOOD, OH

Past

November 1, 1996 - December 31, 2002

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

SOLON, OH

Past

November 1, 1996 - February 25, 2009

FSC SECURITIES CORPORATION

CRD#: 7461

SOLON, OH

Past

October 7, 1976 - November 1, 1996

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/3/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/27/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/9/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/29/1996

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 10/2/1976

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/22/2003

General Securities Principal Examination

Current Firm

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)

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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

SEC notice filing (48 States and Territories)

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 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.

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Advisor Monitoring

Firm Stability Insights

Larry S. Werbel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CONCORDE INVESTMENT SERVICES, LLC

SUMMIT BROKERAGE SERVICES, INC.

EVOLUTION PARTNERS WEALTH MANAGEMENT, LLC

SUMMIT BROKERAGE SERVICES, INC.

SYMPHONY FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

FSC SECURITIES CORPORATION

SILVER MOUNTAIN CAPITAL PARTNERS LLC

ASPEN MANAGEMENT GROUP LTD

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

CONCORDE ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/3/2003

Series 63

Date: 1/27/1986

SIE

Date: 1/9/2016

Series 7

Date: 10/29/1996

Series 1

Date: 10/2/1976

Series 24

Date: 8/22/2003

Current Firm

CONCORDE ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONCORDE ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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