TrueAdvisor
TrueAdvisor
FD
FD

Frank Dunn

Concorde Asset Management, LLC
33 Years of Experience
The Woodlands, TX
4 DisclosuresBroker
View SEC Summary
View SEC Summary

Frank Dunn is a registered investment advisor at Concorde Asset Management, LLC, based in The Woodlands, TX, with 33 years of industry experience. Frank is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Insurance Planning, Investment Management, Retirement Planning. Their firm serves 3,705 clients with $600M in assets under management.

Concorde Asset Management, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
78 advisors
Number of Clients
3,705 clients
Average Client Portfolio
$162K average
Assets Under Management
$598.4M

Fee Structure

Minimum Investment:$50K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.00%

Total fees typically range from 1% to 2% annually for standard management and up to 2.25% for discretionary UMA programs including platform and manager fees. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

The Woodlands, TX

Get directions

History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2016
Settled
Customer Dispute
December 2012
Settled
Regulatory
December 2007
Final
Regulatory
July 1986
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Frank is the owner/registered representative of Capstone Financial Consultants and an Investment Advisor Representative at Concorde Asset Management. He also provides CPA services including tax preparation, dedicating about 10% of his time to this activity.

Employment History
Current Registrations
Concorde Asset Management, LLC
May 2018 - Present · 8 yrs 5 mos
Concorde Investment Services, LLC
October 2010 - Present · 16 yrs
Concorde Investment Services, LLCBroker
October 2010 - Present · 16 yrs
Previous Registrations
Steven L. Falk & Associates INC.Broker
May 2010 - October 2010 · 5 mos
Private Asset Group, INC.Broker
December 2008 - April 2010 · 1 yr 4 mos
Eplanning Securities, INC.Broker
April 2007 - December 2008 · 1 yr 8 mos
Waveland Capital Partners LLCBroker
August 2003 - April 2007 · 3 yrs 8 mos
American Interstate Financial CorporationBroker
March 1993 - April 1994 · 1 yr 1 mo
Dunn Securities CorporationBroker
January 1983 - April 1992 · 9 yrs 3 mos
State Registrations11 states
CACOFLIDMTNJNVNYORTXWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in The Woodlands, TX →All financial advisors in Texas →