Concorde Asset Management LLC

TYPES OF CLIENTS
Our clients include individuals, businesses, trusts and estates, retirement plan sponsors, and plan participants.

Dated July 2026 | Securities offered through Concorde Investment Services, LLC, member FINRA/SIPC. Advisory services offered through
Concorde Asset Management, LLC, an SEC registered investment advisor. Insurance products offered through Concorde Insurance Agency, Inc.

Item 6: Portfolio Manager Selection & Evaluation
ADVISORY BUSINESS
We are the sponsor of the Programs, and our investment advisory representatives act as the portfolio
managers for each of the Programs. Please see Item 4 above for information about our Programs. As a firm, we
maintain approval standards for investment advisory representatives who wish to participate in our Programs
as portfolio managers. Each investment advisory representative candidate provides our firm with background
information that includes, but is not limited to, the following items:
     •	 Investment philosophy and management style
     •	 Years of industry experience
     •	 Educational background, including graduate and undergraduate degrees
     •	 Professional designations
     •	 Disciplinary history for 10 years
     •	 Credit history for 10 years

We verify and evaluate the above-referenced information as part of our due diligence for accepting an
investment advisory representative as a portfolio manager in the Programs.

In many instances, the investment advisory representative already has a successful advisory relationship with
you as a client and utilizes our Programs as additional tools for managing client assets.

PA R T I C I PAT I O N I N W R A P F E E P R O G R A M S
Our wrap fee and non-wrap fee accounts are managed on an individualized basis according to a client’s
investment objectives, financial goals, risk tolerance, etc. We do not manage wrap-fee accounts in a different
fashion than non-wrap fee accounts.

P E R F O R M A N C E - B A S E D F E E S A N D S I D E - B Y- S I D E M A N A G E M E N T
We do not charge any performance-based fees (fees based on a share of capital gains or capital appreciation
of your assets).

M E T H O D S O F A N A LY S I S , I N V E S T M E N T S T R AT E G I E S & R I S K O F L O S S