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Richard Douglas Gann

Investment Adviser Representative at CONCORDE ASSET MANAGEMENT, LLC

Bainbridge Island, WACRD #4623806Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
21 yrs
States Registered
33 states
Exams Passed
7

Registrations & licenses

Registration type
Dual-registered
Registered in 33 states
AlaskaArizonaCaliforniaColoradoDistrict of ColumbiaFloridaGeorgiaHawaiiIdahoIllinoisKansasLouisianaMarylandMassachusettsMissouriMontanaNevadaNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaOhioOregonPennsylvaniaSouth CarolinaSouth DakotaTexasUtahVirginiaWashingtonWisconsinWyoming
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 7/16/2019
Series 63
Uniform Securities Agent State Law Examination
Passed 2/18/2003
Series 79
Investment Banking Registered Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 3/9/2017
Series 7
General Securities Representative Examination
Passed 9/11/2004
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 2/18/2003
Series 24
General Securities Principal Examination
Passed 4/2/2007

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Concorde Asset Management, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

CONCORDE ASSET MANAGEMENT, LLCCurrent
5/4/2020Bainbridge Island, WA
DFPG INVESTMENTS, LLC
7/17/20195/4/2020Lake Oswego, OR
LINSCO/PRIVATE LEDGER CORP.
7/11/20061/4/2007Oceanside, CA
TOWER SQUARE SECURITIES, INC.
5/30/20067/25/2006Oceanside, CA
CITICORP INVESTMENT SERVICES
12/1/200412/21/2005Laguna Hills, CA

Official records & sources

Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Richard Douglas Gann has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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Richard Douglas Gann - Financial Advisor in Bainbridge Island, WA | AdvisorFinder