CONCORDE FINANCIAL RESOURCES
CONCORDE FINANCIAL RESOURCES I INC. Legal Name
Adviser information for CONCORDE FINANCIAL RESOURCES last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | North Carolina, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 488 | $172.1M |
| Non-Discretionary | 15 | $10.7M |
| Total | 503 | $182.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 167 | $60.8M |
| HNW Individuals | 56 | $118.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $14,579 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $299,945 |
| Other | <5 | $2.9M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPublication of periodicals or newsletters |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-113094 |
|---|---|
| SEC ERA File Number | 801-113094 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 117836 |
| Legal Entity Identifier | None |
Principal Office
1836 WEST US HIGHWAY 421WILKESBORO
NC
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 336-838-4100, Fax: 336-838-3033
Websites
Chief Compliance Officer
JESSICA TRUNCK
CHIEF COMPLIANCE OFFICER
50 CHESTNUT ST.
SUITE A-200
BEAVERCREEK
OH
United States
Tel:
937-665-0117
Fax:
937-898-0119
J******@***********************M
(Full email address available in API data)
Regulatory Contact
MARY CATHERINE FERGUSON
PRESIDENT
1836 WEST US HIGHWAY 421
WILKESBORO
NC
United States
Tel:
(336) 838-4100
Fax:
(336) 838-3033
C****@*******************M
(Full email address available in API data)
Industry Affiliates
| FAW & ASSOCIATES PLLC | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FAW, JAMES, CLAYTON | Individual | – | SECRETARY AND TREASURER | 01/2020 | 10-25% |
| SANDERS, WADE, EARL | Individual | – | VICE PRESIDENT | 01/2020 | 25-50% |
| TRUNCK, JESSICA, MARIE | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2015 | < 5% |
| FERGUSON, MARY, CATHERINE | Individual | – | PRESIDENT | 01/2020 | 25-50% |