Our Staff has compiled our research into a database of FINRA Broker Disclosures for Concorde Investment Services, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Daniel Philip Raupp | 4079107 | 13 | 09/06/2023 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| William Aubrey Morrow | 836500 | 15 | 05/12/2023 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Alan Bartlett Harrison | 1616987 | 2 | 11/04/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Matt Branstetter | 2169050 | 2 | 01/05/2022 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| Clemont Lee Bevill | 1790971 | 4 | 02/12/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Tommy John Thompson | 6626035 | 1 | 11/20/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Steven Eric Erickson | 4400791 | 3 | 09/22/2014 | Customer Dispute | Closed-No Action | $400,000.00 | $0.00 | See FINRA Report |
| Daniel Philip Raupp | 4079107 | 13 | 12/11/2011 | Customer Dispute | Closed-No Action | $48,000.00 | $0.00 | See FINRA Report |
| Marc Harold Slavny | 2515906 | 2 | 02/10/2010 | Customer Dispute | Closed-No Action | $54,000.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Kiesnoski | 2688017 | 4 | 08/21/2009 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |