Richard Douglas Gann

Current Employers

Concorde Asset Management, Llc

3909 Research Park Drive Suite 200, Ann Arbor, MI 48108 • United States

Current Registrations

Authority	Category	Status	Date
OR	RA	APPROVED	2020-05-12
CA	RA	APPROVED	2020-05-04

OR RA
APPROVED

Since 2020-05-12
CA RA
APPROVED

Since 2020-05-04

Branch Locations

100 Ravine Lane 2Nd Floor, Bainbridge Island, WA 98110 • United States

3909 Research Park Drive Suite 200, Ann Arbor, MI 48108 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Steadfast Companies	Irvine	CA	11/2011	03/2019
Avian Capital Markets, Llc	Santa Ana	CA	08/2016	10/2019
Stira Capital Markets Group, Llc	Irvine	CA	01/2019	03/2019
Stira Alcenta Global Credit Fund	Irvine	CA	03/2017	03/2019
Dfpg Investments, Inc.	Sandy	UT	07/2019	05/2020
Concorde Investment Services, Llc	Ann Arbor	MI	05/2020	Present
Concorde Asset Management, Llc	Ann Arbor	MI	05/2020	Present

11/2011 → 03/2019

Steadfast Companies

Irvine, CA
08/2016 → 10/2019

Avian Capital Markets, Llc

Santa Ana, CA
01/2019 → 03/2019

Stira Capital Markets Group, Llc

Irvine, CA
03/2017 → 03/2019

Stira Alcenta Global Credit Fund

Irvine, CA
07/2019 → 05/2020

Dfpg Investments, Inc.

Sandy, UT
05/2020 → Present

Concorde Investment Services, Llc

Ann Arbor, MI
05/2020 → Present

Concorde Asset Management, Llc

Ann Arbor, MI

Previous Registrations

2019-07-17 → 2020-05-04

Dfpg Investments, Llc

Lake Oswego, OR

South Jordan, UT

Lake Oswego, OR
2006-07-11 → 2007-01-04

Lpl Financial Llc

Oceanside, CA

Fort Mill, SC

Oceanside, CA
2006-05-30 → 2006-07-25

Tower Square Securities, Inc.

Oceanside, CA
2004-12-01 → 2005-12-21

Citicorp Investment Services

Laguna Hills, CA

Other Businesses

1. Avian Capital Markets Group, LLC dba 1031 Capital Solutions. Start date: July 2019, Investment related, Seattle, WA. Managing Director, Investment sales and advisory. Selling DST Private Placements. Full time. 2. Concorde Asset Management, LLC. Investment Advisor Representative. Start date: May, 2020. Investment related. Investment Advisory related activities. Seattle, WA. 6-10 hours/month during trading hours. 3. Books Sales, Non-investment related. Start date: July 2019, Portland, OR. Author and sale of two books. 1-5 hours/month during trading hours 4. Altsillustrator.com. Investment related. Start date March 2024. Member. Seattle, WA. Cloud based app/software program. 1-5 hours/month during trading hours. 5. Lighthouse Capital Group, LLC (affiliate of ExchangeRight). Investment-related. Start date: September 2025. Creating specific real estate portfolios for clients. 450 Alaskan Way South, Suite 200 Seattle, WA 98104. Temporary affiliate. 1-5 hours/week during non-trading hours. 6-10 hours/week during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2019-07-16
S63	Uniform Securities Agent State Law Examination	2003-02-18

S65 Uniform Investment Adviser Law Examination

2019-07-16
S63 Uniform Securities Agent State Law Examination

2003-02-18

Other Names

Rick Gann

View on SEC IAPD