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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

Lisa Ann Garza

Advisor at CONCORDE ASSET MANAGEMENT, LLC

ANN ARBOR, MI | Buda, TX

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Search this name across graphsid dfx:ria:7924fb24-e1f8-72a4-4fdf-be4eba0abc99

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 14, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CONCORDE ASSET MANAGEMENT, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 18, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S63|S66
First exam: Mar 18, 1998
First registration: Feb 14, 2008
Dual registered: yes, broker-dealer
Other names: LISA ANN AMORE
IAPD individual key: 2576056

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CONCORDE ASSET MANAGEMENT, LLC	Bd affiliated wealth	Apr 10, 2024	n/a	yes	Buda, TX\|ANN ARBOR, MI	Current employment
KESTRA ADVISORY SERVICES, LLC	Bd affiliated wealth	Apr 18, 2016	Feb 9, 2024	no	AUSTIN, TX	Previous registration
NFP ADVISOR SERVICES, LLC	Former SEC adviser	Jul 1, 2010	Sep 22, 2016	no	AUSTIN, TX\|Austin, TX	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jun 3, 2010	no	Austin, TX	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 14, 2008	Jun 1, 2009	no	AUSTIN, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
KESTRA ADVISORY SERVICES, LLC	CONCORDE ASSET MANAGEMENT, LLC	Feb 9, 2024	Apr 10, 2024	61	Firm change	Ibd to ibd
NFP ADVISOR SERVICES, LLC	KESTRA ADVISORY SERVICES, LLC	Sep 22, 2016	Apr 18, 2016	-157	Bulk transfer	Other
MORGAN STANLEY	NFP ADVISOR SERVICES, LLC	Jun 3, 2010	Jul 1, 2010	28	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (5)

→ CONCORDE ASSET MANAGEMENT, LLCRegistered adviserregistration: current employment
Apr 10, 2024 to presentfactForm ADV
→ KESTRA ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Apr 18, 2016 to Feb 9, 2024factForm ADV
→ NFP ADVISOR SERVICES, LLCRegistered adviserregistration: previous registration
Jul 1, 2010 to Sep 22, 2016factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jun 3, 2010factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Feb 14, 2008 to Jun 1, 2009factForm ADV

Dated events

Occurred
Feb 9, 2024
Advisor changed firm
Lisa Ann Garza left Kestra Advisory Services, Llc for Concorde Asset Management, Llc (registered 2024-04-10)
Form ADVobserved 3 days ago