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2800 Century Parkway Ne Suite 650, Atlanta, GA 30345 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-03-29 |
| FL | RA | APPROVED | 2022-10-21 |
| NY | RA | APPROVED | 2022-05-31 |
Branch Locations
2800 Century Parkway Ne Suite 650, Atlanta, GA 30345 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Concorde Investment Services, Llc | Troy | MI | 05/2015 | 05/2020 |
| Concorde Asset Management, Inc. | Livonia | MI | 12/2015 | 05/2020 |
| Dai Securities, Llc | Atlanta | GA | 06/2020 | Present |
1) Roy V. Pfleger II Consulting, Inc.; E. Setauket, NY . President/Owner; Manage and operate entity. Offer traditional and alternative investment strategies as a consultant to clients. 2) ALPINE BROKERAGE SERVICES.INSURANCE BROKER.INSURANCE BROKERAGE SERVICES.1-3 HOURS SPENT AT OTHER BUSINESS DURING BUSINESS HOURS.1-3 HOURS SPENT OTHER BUSINESS DURING NON-TRADING HOURS.PROVIDE CLIENTS SOPHISTICATED INSURANCE PLANNING RESOURCES THROUGH NON-VARIABLE INSURANCE PRODUCTS.THESE ARE INSURANCE SOLUTIONS NOT CORRELATED TO THE WEALTH MANAGEMENT PRACTICE. 3) DAI Wealth, Inc, E. Setauket, NY. Investment Related, Start date 05/2020, Investment Advisor Representative, Sales and Service. 4) DAI Agency; E. Setauket, NY. Insurance Agent; provide insurance services to clients when appropriate. No client conflict.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-05-24 |
| S63 | Uniform Securities Agent State Law Examination | 2014-05-08 |
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