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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

DAVID JON ZUPEK

Advisor at CONCORDE ASSET MANAGEMENT, LLC

The Villages, FL | RACINE, WI | ANN ARBOR, MI

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Search this name across graphsid dfx:ria:ffcda7bd-ede4-d996-3d8b-8dd3199ddb20

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 3, 2000 to Sep 15, 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: Oct 1, 1991earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 4
Exams: S63|S65
First exam: Jun 22, 1992
First registration: Apr 3, 2000
Dual registered: yes, broker-dealer
IAPD individual key: 2250376

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	Dec 6, 2012	n/a	yes	ANN ARBOR, MI\|RACINE, WI\|The Villages, FL	Current employment
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Apr 2, 2012	Oct 18, 2012	no	RACINE, WI	Previous registration
ANNEX WEALTH MANAGEMENT, LLC	Independent wealth	Oct 12, 2010	Apr 3, 2012	no	RACINE, WI	Previous registration
H. BECK, INC.	Former SEC adviser	Oct 4, 2010	Oct 4, 2010	no	Rockville, MD\|RACINE, WI	Previous registration
VOYA FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Apr 19, 2002	Oct 4, 2010	no	NAPERVILLE, IL\|RACINE, WI\|KENOSHA, WI	Previous registration
SII INVESTMENTS, INC.	Former SEC adviser	Apr 3, 2000	Apr 24, 2002	no	RACINE, WI	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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	CONCORDE ASSET MANAGEMENT, LLC	Oct 18, 2012	Dec 6, 2012	49	Firm change	Other
ANNEX WEALTH MANAGEMENT, LLC	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Apr 3, 2012	Apr 2, 2012	-1	Firm change	Other
H. BECK, INC.	ANNEX WEALTH MANAGEMENT, LLC	Oct 4, 2010	Oct 12, 2010	8	Firm change	Other
VOYA FINANCIAL ADVISORS, INC.	H. BECK, INC.	Oct 4, 2010	Oct 4, 2010	0	Firm change	Other
SII INVESTMENTS, INC.	VOYA FINANCIAL ADVISORS, INC.	Apr 24, 2002	Apr 19, 2002	-5	Firm change	Other

Relationships

Registered with (6)

→ CONCORDE ASSET MANAGEMENT, LLCRegistered adviserregistration: current employment
Dec 6, 2012 to presentfactForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Apr 2, 2012 to Oct 18, 2012factForm ADV
→ ANNEX WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Oct 12, 2010 to Apr 3, 2012factForm ADV
→ H. BECK, INC.Registered adviserregistration: previous registration
Oct 4, 2010 to Oct 4, 2010factForm ADV
→ VOYA FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Apr 19, 2002 to Oct 4, 2010factForm ADV
→ SII INVESTMENTS, INC.Registered adviserregistration: previous registration
Apr 3, 2000 to Apr 24, 2002factForm ADV

Dated events

No dated event names this entity yet.