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 |
|---|---|---|---|---|---|---|---|---|
| Lauri Ranae Grovich | 2415173 | 3 | 07/06/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Eric Erickson | 4400791 | 3 | 12/31/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Michael Fanning | 1107203 | 3 | 07/06/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Herbert Alston | 5294132 | 3 | 10/02/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Clemont Lee Bevill | 1790971 | 4 | 06/19/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Aubrey Morrow | 836500 | 15 | 03/01/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Philip Raupp | 4079107 | 13 | 11/19/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |