Bruce J. Carnick
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.
Bruce James Carnick was a registered financial advisor .
Bruce is a previously registered financial advisor and started their career in finance in 1977. Bruce had worked at 13 firms and has passed the Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2013 - November 30, 2015
CONCORDE ASSET MANAGEMENT, LLC
September 3, 2013 - November 30, 2015
CONCORDE INVESTMENT SERVICES, LLC
June 18, 2013 - September 10, 2013
QUESTAR ASSET MANAGEMENT, INC.
June 17, 1999 - September 10, 2013
QUESTAR CAPITAL CORPORATION
August 26, 1993 - June 4, 1999
SIGMA FINANCIAL CORPORATION
December 23, 1992 - November 1, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
September 6, 1990 - December 23, 1992
USA FINANCIAL GROUP, INC.
March 30, 1990 - September 13, 1990
HARBOUR INVESTMENTS, INC.
June 1, 1989 - March 30, 1990
HYDRA SECURITIES CORPORATION
March 29, 1983 - June 9, 1989
MUTUAL SERVICE CORPORATION
March 4, 1981 - March 28, 1983
MARINER FINANCIAL SERVICES, INC.
March 7, 1978 - March 16, 1981
MUTUAL SERVICE CORPORATION
September 16, 1977 - January 30, 1978
PRUDENTIAL EQUITY GROUP, LLC
April 1, 1977 - September 16, 1977
BACHE HALSEY STUART INC.
Primary Firm SEC Registration
CONCORDE ASSET MANAGEMENT, LLC
CRD#: 140367 / SEC#: 801-74519
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CONCORDE ASSET MANAGEMENT, LLC
CRD#: 140367 / SEC#: 801-74519
Contact information
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.
