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David Zupek

Concorde Asset Management, LLC
34 Years of Experience
Racine, WI
6 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

David Zupek is a registered investment advisor at Concorde Asset Management, LLC, based in Racine, WI, with 34 years of industry experience. David 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

6226 Bankers Road, Suite 4, Racine, WI, 53403

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History

Regulatory History (6)
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
April 2020
Settled
Customer Dispute
September 2019
Settled
Customer Dispute
March 2014
Settled
Customer Dispute
August 2010
Settled
Customer Dispute
October 2008
Settled
Customer Dispute
February 2004
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

David is an independent consultant at Foremost Financial Planning, Inc. focusing on tax planning and occasionally servicing life insurance accounts, and is the founder of Tada Wealth Advisors, Inc. He also works as an Investment Advisor Rep at Concorde Asset Management Inc and provides insurance services through Concorde Insurance Agency, and owns DJZ Better Health Solutions, an alternative health business.

Employment History
Current Registrations
Concorde Asset Management, LLC
October 2012 - Present · 14 yrs
Concorde Investment Services, LLC
October 2012 - Present · 14 yrs
Concorde Investment Services, LLCBroker
October 2012 - Present · 14 yrs
Previous Registrations
Cambridge Investment Research Advisors, INC.
April 2012 - October 2012 · 6 mos
Cambridge Investment Research, INC.Broker
April 2012 - October 2012 · 6 mos
Annex Wealth Management, LLC
October 2010 - April 2012 · 1 yr 6 mos
H. Beck, INC.Broker
October 2010 - April 2012 · 1 yr 6 mos
H. Beck, INC.
October 2010 - October 2010 · 0 mos
Ing Financial Partners, INC
April 2002 - October 2010 · 8 yrs 6 mos
Ing Financial Partners, INC.Broker
April 2002 - October 2010 · 8 yrs 6 mos
Sii Investments, INC.
April 2000 - April 2002 · 2 yrs
Sii Investments, INC.Broker
February 2000 - April 2002 · 2 yrs 2 mos
Ffp Securities, INC.Broker
April 1994 - February 2000 · 5 yrs 10 mos
Sunamerica Securities, INC.Broker
January 1994 - April 1994 · 3 mos
Ffp Securities, INC.Broker
April 1993 - December 1993 · 8 mos
Intersecurities, INC.Broker
January 1993 - April 1993 · 3 mos
Intersecurities, INC.Broker
June 1992 - December 1992 · 6 mos
State Registrations4 states
AZFLIAWI
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.
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