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David Jon Zupek

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Additional Firm:
Type: SEC and FINRA Registered

David Zupek is a financial professional at Concorde Investment Services, LLC, a broker-dealer with 138 registered representatives nationwide. David is also registered with Concorde Asset Management, LLC, a $250M RIA based in Troy, MI. David has held an industry securities registration for 23 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
Concorde Asset Management, LLC 3 years, 1 month Oct 2012 - Present
Concorde Investment Services, LLC 3 years, 1 month 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
Tada Wealth Advisors, Inc. (Formerly Zupek &Associates, Inc.) 24 years, 2 months Oct 1991 - Present
Foremost Financial Planning, Inc. 24 years, 2 months Oct 1991 - Present
ExamSeriesPassed Date
General Securities Representative ExaminationSeries 7 08/06/2002
Uniform Investment Adviser Law ExaminationSeries 65 01/21/1994
Uniform Securities Agent State Law ExaminationSeries 63 06/22/1992
Investment Company Products/Variable Contracts Representative ExaminationSeries 6 06/18/1992

Answers and Articles

0 Answers and 0 Financial Articles

Top Answers

David Jon Zupek has not answered any questions on Financial Q&A.

Top Articles

David Jon Zupek has not contributed any Financial Articles.
*Answers and articles are provided without compensation.

Firm Client Types

High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

License Status

4 Customer Disputes

4 Customer Disputes

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*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.

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees