WM
William A. Morrow
CONCORDE ASSET MANAGEMENT
Del Mar, CA
Some features on this profile are disabled
CRD#: 836500
WM
Professional summary
William Aubrey Morrow, CFP®, who also goes by W Aubrey Morrow, Aubrey Morrow, is a registered financial advisor currently at CONCORDE ASSET MANAGEMENT, LLC located in Del Mar, California and CONCORDE INVESTMENT SERVICES, LLC located in San Diego, California.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. William has worked at 13 firms and has passed the Series 63, Series 6TO, Series 22TO, SIE, Series 2 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
W Aubrey Morrow | Aubrey Morrow
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) PRESIDENT AND OWNER OF DBA "FINANCIAL DESIGNS, LTD," INVESTMENT RELATED. OFFERING SECURITIES, ADVISORY, FINANCIAL PLANNING AND INSURANCE SERVICES SINCE 2016. 5075 SHOREHAM PLACE, SUITE 200, SAN DIEGO CA 92122. FULL TIME DURING BUSINESS HOURS, 11-20 HOURS/MONTH DURING NON-BUSINESS HOURS. (2)HOST OF THE 'FINANCIAL ADVISORS' WEEKLY RADIO SHOW, INVESTMENT RELATED. BROADCAST THROUGH KOGO AM 600 IN SAN DIEGO. 5075 SHOREHAM PLACE, SUITE 200, SAN DIEGO CA 92122 1-5 HOURS/MONTH DURING BUSINESS HOURS, 1-5 HOURS/MONTH DURING NON-BUSINESS HOURS. (3) CA INSURANCE AGENT OFFERING SALES OF FIXED INSURANCE PRODUCTS SINCE 2002. NON-INVESTMENT RELATED. APPROX 5% OF TIME SPENT. ALL BUSINESS CONDUCTED AT OFFICE ADDRESS OF RECORD. (4) CONCORDE ASSET MANAGEMENT, LLC, INVESTMENT RELATED, ANN ARBOR, MI, INVESTMENT ADVISOR REPRESENTATIVE PERFORMING INVESTMENT ADVISORY SALES AND SERVICE. FULL TIME DURING BUSINESS HOURS, 6-10 HOURS/MONTH DURING NON-BUSINESS HOURS. (5) Westland Insurance. Investment related. 5075 Shoreham Place Suite 200, San Diego, CA 92122. Roles include President. Hours worked 1-5 hours during business hours and 1-5 hours during non-business hours.
CRS (Client Relationship Summary) - RIA
Click below to view William Aubrey Morrow'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®
CFP®
Start date: 1984
Experience
Current
August 3, 2018 - Present
CONCORDE ASSET MANAGEMENT, LLC
Office #2: 5075 Shoreham Place Suite 230, San Diego, CA 92122RIA
CRD#: 140367
Del Mar, CA
Current
August 1, 2018 - Present
CONCORDE INVESTMENT SERVICES, LLC
Office #1: 5075 Shoreham Place Suite 230, San Diego, CA 92122BD
CRD#: 151604
San Diego, CA
Past
October 17, 2005 - July 31, 2018
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
SAN DIEGO, CA
Past
March 2, 2004 - July 31, 2018
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
SAN DIEGO, CA
Past
January 2, 2001 - March 1, 2004
QA3 FINANCIAL CORP.
BD
CRD#: 14754
OMAHA, NE
Past
March 31, 1999 - December 31, 2000
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
April 30, 1997 - January 14, 2016
FINANCIAL DESIGNS LTD.
RIA
CRD#: 135426
SAN DIEGO, CA
Past
January 25, 1995 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
July 26, 1991 - March 13, 1995
DUNHAM
BD
CRD#: 13162
SAN DIEGO, CA
Past
May 10, 1990 - April 11, 1991
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
November 7, 1989 - April 17, 1990
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
January 5, 1988 - February 1, 1988
BRIARWOOD INVESTMENT COUNSEL
BD
CRD#: 6368
Past
August 19, 1983 - November 7, 1989
VALUE EQUITIES CORPORATION
BD
CRD#: 13316
Past
January 14, 1981 - September 21, 1983
LPL FINANCIAL LLC
BD
CRD#: 6413
Past
April 20, 1977 - February 7, 1981
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
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
Arizona(10/24/2018)
IAR
Arizona(2/18/2020)
RR
California(8/2/2018)
IAR
California(8/3/2018)
RR
Colorado(4/18/2023)
RR
Florida(8/1/2018)
RR
Idaho(8/7/2018)
IAR
Idaho(3/4/2019)
RR
Maine(8/6/2018)
RR
Maryland(2/22/2021)
IAR
Michigan(11/19/2021)
RR
Mississippi(2/10/2020)
RR
Nevada(8/14/2018)
RR
North Carolina(5/11/2022)
RR
Virginia(8/1/2018)
IAR
Virginia(9/6/2018)
RR
Washington(8/3/2018)
IAR
Washington(9/6/2018)
RR
Wyoming(9/27/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 3/20/1995
Non-Member General Securities ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 4/16/1977
Registered Representative ExaminationSRO 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
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.
