David Zupek is a financial professional at Concorde Asset Management, LLC, an $86M RIA based in Troy, MI. David is also registered with Concorde Investment Services, LLC, a broker-dealer with 111 registered representatives nationwide. David has held an industry securities registration for 21 years and is subject to SEC and FINRA oversight.
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|High Net Worth Individuals|
|Pension and Profit Sharing Plans|
|Corporations or Other Businesses|
*The Client Types data displayed is firm level data as reported on the SEC ADV filing.
|Concorde Asset Management, LLC||1 year, 5 months||Oct 2012 - Present|
|Concorde Investment Services, LLC||1 year, 5 months||Oct 2012 - Present|
|Cambridge Investment Research Advisors, Inc.||6 months||Apr 2012 - Oct 2012|
|Cambridge Investment Research, Inc.||6 months||Apr 2012 - Oct 2012|
|Annex Wealth Management||1 year, 6 months||Oct 2010 - Apr 2012|
|H. Beck, Inc.||1 year, 6 months||Oct 2010 - Apr 2012|
|Ing Financial Partners, Inc.||6 years, 9 months||Jan 2004 - Oct 2010|
|Washington Square Securities, Inc.||1 year, 8 months||Apr 2002 - Dec 2003|
|Tada Wealth Advisors, Inc. (Formerly Zupek &Associates, Inc.)||22 years, 5 months||Oct 1991 - Present|
|Foremost Financial Planning, Inc.||22 years, 5 months||Oct 1991 - Present|
3 Customer Disputes
3 Customer Disputes
|As of Date||
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.
|General Securities Representative Examination||Series 7||08/06/2002|
|Uniform Investment Adviser Law Examination||Series 65||01/21/1994|
|Uniform Securities Agent State Law Examination||Series 63||06/22/1992|
|Investment Company Products/Variable Contracts Representative Examination||Series 6||06/18/1992|
Types of Compensation Arrangements
- Percentage of Assets
- Hourly Charges
- Fixed Fees
- Other: SOLICITATION FEES