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Information

Firm:
Additional Firm:
Type: Dual Registration
Description

David Zupek is a financial professional at Concorde Asset Management, LLC, a $177M RIA based in Troy, MI. David is also registered with Concorde Investment Services, LLC, a broker-dealer with 113 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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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

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

Top Guides

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

Firm Client Types

Individuals
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.

Experience and Employment History

Employer Years Dates
Concorde Asset Management, LLC 1 year, 6 months Oct 2012 - Present
Concorde Investment Services, LLC 1 year, 6 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, 7 months Oct 1991 - Present
Foremost Financial Planning, Inc. 22 years, 7 months Oct 1991 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 08/29/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

3 Customer Disputes

3 Customer Disputes

As of Date
08/29/2013
09/19/2013
*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.

Advisor Exams

Exam Series Passed Date
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

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Other: SOLICITATION FEES