SEC Info - Concord Public Financial Advisors, Inc.

EDGAR Submission

Header Data:

Submission Type: MA/A

Filer Info:

Filer:

Filer ID: 1614477

Filer CCC: XXXXXXXX

Contact:

Name: Diane Lando

Phone Number: 610-376-4100

Contact Email: concord@concordpublicfinance.com

Form Data:

Firm Name: Concord Public Financial Advisors, Inc.

Firm CRD Number: 000122025

IRS Num.: 23-2923631

Registrations:

MA T Registration:

File Number: 866-00094

Base Registrations:

MA Registration:

File Number: 867-00265

Base Registrations:

Ia Registration:

Non-Exempt:

State Registration:

CRD Number: 000122025

State: PA

Principal Office Address:

Address Info:

Address:

Street 1: 2747 CENTURY BOULEVARD

City: READING

State or Country: PA

ZIP Code: 19610

Phone Number: 610-376-4100

Fax Number: 610-376-4242

Additional Offices:

Additional Office:

Add Delete Amend:

Add: Add

Office Info:

Address Info:

Address:

Street 1: 2938 Columbia Avenue

Street 2: Suite 1002

City: Lancaster

State or Country: PA

ZIP Code: 17603

Phone Number: 717-295-2300

Fax Number: 717-295-2427

Mailing Address Different? No

Mailing Address:

Address:

Street 1: 2747 CENTURY BOULEVARD

City: READING

State or Country: PA

ZIP Code: 19610

Primary Web Address: concordpublicfinance.com

CCO:

Name:

First Name: Christopher

Middle Name: Miles

Last Name: Gibbons

Address:

Street 1: 2938 Columbia Avenue

Street 2: Suite 1002

City: Lancaster

State or Country: PA

ZIP Code: 17603

Phone Number: 717-295-2300

Fax Number: 717-295-24257

Email: cgibbons@concordpublicfinance.com

Contact Person:

Name:

First Name: Diane

Middle Name: Elaine

Last Name: Lando

Address:

Street 1: 2747 Century Boulevard

City: Reading

State or Country: PA

ZIP Code: 19610

Phone Number: 610-376-4100

Fax Number: 610-376-4242

Form of Organization:

Form Org. Type:

Form Org. Types:

Corporation

Month of Fiscal Year End: December

Organized Jurisdiction:

State or Country: PA

Date of Organization: 9/19/97

Is PRC Applicant? No

Number of Employees: 3

Employees Engaged in MAA: 3

MAA Employees Reg. BD: 0

MAA Reg. IA: 3

Number of Soliciting Firms: 0

Clients Served as MA: 43

Types of Clients:

Client Types: Municipal Entities

Client Types: Non-profit organizations

Number of Solicited ME: 0

Number of Solicited OP: 0

Total Number of Solicited ME and OP: 0

Types of Solicited Persons:

Solicitation Person Types:

Solicitation Person Types: Not Applicable

ME or OP Compensation Types:

Compensation Types:

Compensation Types: Hourly Charges

Compensation Types: Fixed Fees

Compensation Types: Contingent Fees

Solicitation Compensation Types:

Compensation Types:

Compensation Types: Not Applicable

Engaged Activities:

Engaged Activity Types:

Engaged Activity Type: Advice Insurance Of MS

Engaged Activity Type: Advice Investment Of Proceeds MS

Engaged Activity Type: Advice ME Investments

Engaged Activity Type: Advice ME Other Investments

Engaged Activity Type: Advice Guaranteed IC

Engaged Activity Type: Advice On Selection

Is Engaged in Other Non-MAA Business? No

Total FIA Associated Persons: 0

Participation Interest MACT:

MACT Buy Sell From Clients? No

MACT Buy Sell Recommend to Clients? No

MACT Enter Derivatives With Clients? No

MACT Recommend Owned Interest to Clients? No

MACT Recommend to Clients Serving? No

MACT Recommend to Clients Having Other Sales Interest? No

MACT Disc. Auth. Buy Sell as MAA? No

MACT Disc. Auth. Buy Sell? No

MACT Disc. Auth. Determine Broker Dealer? No

MACT Disc. Auth. Determine Commission to Broker Dealer? No

MACT Recommend Broker Dealer to Client? Yes

MACT Recommend Broker Dealer to Client Are AP? No

MACT Compensate for Referrals? No

MACT Receive Compensation for Referrals? No

Disclosure Answers:

Criminal Disclosure:

Is Convicted of Felony? No

Is Charged With Felony? No

Is Org. Convicted of Felony? No

Is Org. Charged With Felony? No

Regulatory Disclosure:

Is Made False Statement? No

Is Violated Regulation? No

Is Cause of Denial? No

Is Order Against? No

Is Imposed Penalty? No

Is Unethical? No

Is Found in Violation of Regulation? No

Is Found in Cause of Denial? No

Is Order Against Activity? No

Is Denied License? No

Is Found Made False Statement? No

Is Found in Violation of Rules? No

Is Found in Cause of Suspension? No

Is Discipliend? No

Is Authorized to Act Attorney? No

Is Regulatory Complaint? No

Civil Disclosure:

Is Enjoined? No

Is Found in Violation of Regulation? No

Is Dismissed? No

Is Named in Civil Proceeding? No

Has Annual Receipts Less Than 7 Million? Yes

Is Affiliated With Receipts More Than 7 Million? No

Schedule A:

Persons:

Person:

Name:

First Name: Michael

Middle Name: Anthony

Last Name: Setley

Base Information:

Title Status: Principal

Status Acquired: 9/19/97

Ownership Code: C

Is Control Person? Yes

CRD Number: 004574796

Person:

Name:

First Name: Christopher

Middle Name: Myles

Last Name: Gibbons

Base Information:

Title Status: Principal

Status Acquired: 9/19/97

Ownership Code: C

Is Control Person? Yes

CRD Number: 001995424

Person:

Name:

First Name: Daryl

Middle Name: Stansfield

Last Name: Peck

Base Information:

Title Status: Principal

Status Acquired: 1/1/05

Ownership Code: C

Is Control Person? Yes

CRD Number: 001948938

Schedule C:

Direct Persons:

Person:

Type:

Add: Add

Base Information:

Name:

First Name: Michael

Middle Name: Anthony

Last Name: Setley

Base Information:

Title Status: Principal

Status Acquired: 9/19/97

Ownership Code: C

Is Control Person? Yes

CRD Number: 004574796

Person:

Type:

Add: Add

Base Information:

Name:

First Name: Christopher

Middle Name: Myles

Last Name: Gibbons

Base Information:

Title Status: Principal

Status Acquired: 9/19/97

Ownership Code: C

Is Control Person? Yes

CRD Number: 001995424

Person:

Type:

Add: Add

Base Information:

Name:

First Name: Daryl

Middle Name: Stansfield

Last Name: Peck

Base Information:

Title Status: Principal

Status Acquired: 1/1/05

Ownership Code: C

Is Control Person? Yes

CRD Number: 001948938

MA Execution Page:

Signature:

Signature: Diane E. Lando

Signer Name: Diane E. Lando

Title: Assistant Secretary

Date: 4/24/15

Controls:

Is Sole Propietor? No

Has Name Change? No

Has DBA Name? No

Has Previous DBA Name? No

Has Additional DBA Names? No

Has MAT Reg.? Yes

Additional Regs.? No

Additional Offices? Yes

Has Mailing Address? No

Has Additional Websites? No

Has Books Records? No

Is Registered FFRA? No

Is Affiliated Other Bus.? No

Independent Business Employee? No

Receive Compensation for MAA From Other Clients? No

Is Succeeding Applicant? No

Is CP for Applicant Policy? No

Is PR Company Under 1215? No

Has Schedule B? No

Is Section 12 or 15 Reporting Company? No

Concord Public Financial Advisors, Inc. – ‘MA/A’ on 4/24/15

On: Friday, 4/24/15, at 5:45pm ET · Accession #: 1614477-15-3 · File #: 867-00265

Previous ‘MA’: ‘MA/A’ on 4/10/15 · Next: ‘MA/A’ on 9/16/16 · Latest: ‘MA/A’ on 1/2/24

Amendment to Application for Municipal Advisor Registration — Form MA
Filing Table of Contents

This ‘MA/A’ Document is an XML Data File that may be rendered in various formats:

Concord Public Financial Advisors, Inc. – ‘MA/A’ on 4/24/15

On: Friday, 4/24/15, at 5:45pm ET · Accession #: 1614477-15-3 · File #: 867-00265

Previous ‘MA’: ‘MA/A’ on 4/10/15 · Next: ‘MA/A’ on 9/16/16 · Latest: ‘MA/A’ on 1/2/24

Amendment to Application for Municipal Advisor Registration — Form MAFiling Table of Contents

This ‘MA/A’ Document is an XML Data File that may be rendered in various formats:

Amendment to Application for Municipal Advisor Registration — Form MA
Filing Table of Contents