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 |
|---|---|---|---|---|---|---|---|---|
| Alan Neil Lichtenstein | 1877017 | 2 | 06/24/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frederick Harris | 2775162 | 1 | 12/18/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jasmine Christine Jordan | 6941621 | 3 | 06/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jasmine Christine Jordan | 6941621 | 3 | 06/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kyla Michael McMoran | 7300615 | 2 | 01/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kyla Michael McMoran | 7300615 | 2 | 12/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Patrick Maher | 4641855 | 2 | 10/25/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Rainwater | 7210755 | 4 | 02/19/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Rainwater | 7210755 | 4 | 02/03/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Rainwater | 7210755 | 4 | 08/11/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |