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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

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  As Of                Filer                Filing    For·On·As Docs:Size

 4/24/15  Concord Public Fin’l Advs, Inc.   MA/A                   1:13K

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

Document/Exhibit                   Description                      Pages   Size 

 1: MA/A        Amendment to Application for Municipal Advisor      HTML     14K 
                          Registration -- primary_doc.xml


        

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

  Form MA    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
XML Data rendering:  Amendment to Application for Registration by a Municipal Advisor
 
                                                                                                                                                                                
<?xml version="1.0" encoding="windows-1252"?>
<edgarSubmission xmlns="http://www.sec.gov/edgar/mafiler" xmlns:com="http://www.sec.gov/edgar/common_ma" xmlns:com1="http://www.sec.gov/edgar/common">
<headerData>
<submissionType> MA/A </submissionType>
<filerInfo>
<com:filer>
<com1:filerId> 0001614477 </com1:filerId>
<com1:filerCcc> XXXXXXXX </com1:filerCcc>
</com:filer>
<com:contact>
<com1:name> Diane Lando </com1:name>
<com1:phoneNumber> 610-376-4100 </com1:phoneNumber>
</com:contact>
<com:contactEmail> concord@concordpublicfinance.com </com:contactEmail>
</filerInfo>
</headerData>
<formData>
<firmName> Concord Public Financial Advisors, Inc. </firmName>
<firmCrdNumber> 000122025 </firmCrdNumber>
<irsNum> 23-2923631 </irsNum>
<registrations>
<maTregistration>
<com:fileNumber> 866-00094-00 </com:fileNumber>
</maTregistration>
<baseRegistrations>
<maRegistration>
<com:fileNumber> 867-00265 </com:fileNumber>
</maRegistration>
<baseRegistrations>
<com:iaRegistration>
<com:nonExempt>
<com:stateRegistration>
<com:crdNumber> 000122025 </com:crdNumber>
<com:state> PA </com:state>
</com:stateRegistration>
</com:nonExempt>
</com:iaRegistration>
</baseRegistrations></baseRegistrations>
</registrations>
<principalOfficeAddress>
<addressInfo>
<com:address>
<com1:street1> 2747 CENTURY BOULEVARD </com1:street1>
<com1:city> READING </com1:city>
<com1:stateOrCountry> PA </com1:stateOrCountry>
<com1:zipCode> 19610 </com1:zipCode>
</com:address>
</addressInfo>
<phoneNumber> 610-376-4100 </phoneNumber>
<faxNumber> 610-376-4242 </faxNumber>
</principalOfficeAddress>
<additionalOffices>
<additionalOffice>
<addDeleteAmend>
<com:add> Add </com:add>
</addDeleteAmend>
<officeInfo>
<addressInfo>
<com:address>
<com1:street1> 2938 Columbia Avenue </com1:street1>
<com1:street2> Suite 1002 </com1:street2>
<com1:city> Lancaster </com1:city>
<com1:stateOrCountry> PA </com1:stateOrCountry>
<com1:zipCode> 17603 </com1:zipCode>
</com:address>
</addressInfo>
<phoneNumber> 717-295-2300 </phoneNumber>
<faxNumber> 717-295-2427 </faxNumber>
</officeInfo>
</additionalOffice>
</additionalOffices>
<mailingAddressDifferent> N </mailingAddressDifferent>
<mailingAddress>
<com:address>
<com1:street1> 2747 CENTURY BOULEVARD </com1:street1>
<com1:city> READING </com1:city>
<com1:stateOrCountry> PA </com1:stateOrCountry>
<com1:zipCode> 19610 </com1:zipCode>
</com:address>
</mailingAddress>
<primaryWebAddress> concordpublicfinance.com </primaryWebAddress>
<cco>
<name>
<com:firstName> Christopher </com:firstName>
<com:middleName> Miles </com:middleName>
<com:lastName> Gibbons </com:lastName>
</name>
<address>
<com:address>
<com1:street1> 2938 Columbia Avenue </com1:street1>
<com1:street2> Suite 1002 </com1:street2>
<com1:city> Lancaster </com1:city>
<com1:stateOrCountry> PA </com1:stateOrCountry>
<com1:zipCode> 17603 </com1:zipCode>
</com:address>
</address>
<phoneNumber> 717-295-2300 </phoneNumber>
<faxNumber> 717-295-24257 </faxNumber>
<email> cgibbons@concordpublicfinance.com </email>
</cco>
<contactPerson>
<name>
<com:firstName> Diane </com:firstName>
<com:middleName> Elaine </com:middleName>
<com:lastName> Lando </com:lastName>
</name>
<address>
<com:address>
<com1:street1> 2747 Century Boulevard </com1:street1>
<com1:city> Reading </com1:city>
<com1:stateOrCountry> PA </com1:stateOrCountry>
<com1:zipCode> 19610 </com1:zipCode>
</com:address>
</address>
<phoneNumber> 610-376-4100 </phoneNumber>
<faxNumber> 610-376-4242 </faxNumber>
</contactPerson>
<formOfOrganization>
<formOrgType>
<formOrgTypes>
<Corporation/>
</formOrgTypes>
</formOrgType>
</formOfOrganization>
<monthOfFiscalYearEnd> December </monthOfFiscalYearEnd>
<organizedJurisdiction>
<com1:stateOrCountry> PA </com1:stateOrCountry>
</organizedJurisdiction>
<dateOfOrganization> 09-19-1997 </dateOfOrganization>
<isPrcApplicant> N </isPrcApplicant>
<numberOfEmployees> 3 </numberOfEmployees>
<employeesEngagedInMAA> 3 </employeesEngagedInMAA>
<maaEmployeesRegBD> 0 </maaEmployeesRegBD>
<maaRegIA> 3 </maaRegIA>
<numberOfSolicitingFirms> 0 </numberOfSolicitingFirms>
<clientsServedAsMA> 43 </clientsServedAsMA>
<typesOfClients>
<typesOfClients>
<clientTypes> Municipal Entities </clientTypes>
<clientTypes> Non-profit organizations </clientTypes>
</typesOfClients></typesOfClients>
<numberOfSolicitedME> 0 </numberOfSolicitedME>
<numberOfSolicitedOP> 0 </numberOfSolicitedOP>
<totalNumberOfSolicitedMEAndOP> 0 </totalNumberOfSolicitedMEAndOP>
<typesOfSolicitedPersons>
<solicitationPersonTypes>
<solicitationPersonTypes> Not Applicable </solicitationPersonTypes>
</solicitationPersonTypes>
</typesOfSolicitedPersons>
<meOrOPCompensationTypes>
<compensationTypes>
<compensationTypes> Hourly Charges </compensationTypes>
<compensationTypes> Fixed Fees </compensationTypes>
<compensationTypes> Contingent Fees </compensationTypes>
</compensationTypes>
</meOrOPCompensationTypes>
<solicitationCompensationTypes>
<compensationTypes>
<compensationTypes> Not Applicable </compensationTypes>
</compensationTypes>
</solicitationCompensationTypes>
<engagedActivities>
<engagedActivityTypes>
<engagedActivityType> Advice Insurance Of MS </engagedActivityType>
<engagedActivityType> Advice Investment Of Proceeds MS </engagedActivityType>
<engagedActivityType> Advice ME Investments </engagedActivityType>
<engagedActivityType> Advice ME Other Investments </engagedActivityType>
<engagedActivityType> Advice Guaranteed IC </engagedActivityType>
<engagedActivityType> Advice On Selection </engagedActivityType>
</engagedActivityTypes>
</engagedActivities>
<isEngagedInOtherNonMAABusiness> N </isEngagedInOtherNonMAABusiness>
<totalFIAAssociatedPersons> 0 </totalFIAAssociatedPersons>
<participationInterestMACT>
<mactBuySellFromClients> N </mactBuySellFromClients>
<mactBuySellRecommendToClients> N </mactBuySellRecommendToClients>
<mactEnterDerivativesWithClients> N </mactEnterDerivativesWithClients>
<mactRecommendOwnedInterestToClients> N </mactRecommendOwnedInterestToClients>
<mactRecommendToClientsServing> N </mactRecommendToClientsServing>
<mactRecommendToClientsHavingOtherSalesInterest> N </mactRecommendToClientsHavingOtherSalesInterest>
<mactDiscAuthBuySellAsMAA> N </mactDiscAuthBuySellAsMAA>
<mactDiscAuthBuySell> N </mactDiscAuthBuySell>
<mactDiscAuthDetermineBrokerDealer> N </mactDiscAuthDetermineBrokerDealer>
<mactDiscAuthDetermineCommissionToBrokerDealer> N </mactDiscAuthDetermineCommissionToBrokerDealer>
<mactRecommendBrokerDealerToClient> Y </mactRecommendBrokerDealerToClient>
<mactRecommendBrokerDealerToClientAreAP> N </mactRecommendBrokerDealerToClientAreAP>
<mactCompensateForReferrals> N </mactCompensateForReferrals>
<mactReceiveCompensationForReferrals> N </mactReceiveCompensationForReferrals>
</participationInterestMACT>
<disclosureAnswers>
<criminalDisclosure>
<com:isConvictedOfFelony> N </com:isConvictedOfFelony>
<com:isChargedWithFelony> N </com:isChargedWithFelony>
<com:isOrgConvictedOfFelony> N </com:isOrgConvictedOfFelony>
<com:isOrgChargedWithFelony> N </com:isOrgChargedWithFelony>
</criminalDisclosure>
<regulatoryDisclosure>
<com:isMadeFalseStatement> N </com:isMadeFalseStatement>
<com:isViolatedRegulation> N </com:isViolatedRegulation>
<com:isCauseOfDenial> N </com:isCauseOfDenial>
<com:isOrderAgainst> N </com:isOrderAgainst>
<com:isImposedPenalty> N </com:isImposedPenalty>
<com:isUnEthical> N </com:isUnEthical>
<com:isFoundInViolationOfRegulation> N </com:isFoundInViolationOfRegulation>
<com:isFoundInCauseOfDenial> N </com:isFoundInCauseOfDenial>
<com:isOrderAgainstActivity> N </com:isOrderAgainstActivity>
<com:isDeniedLicense> N </com:isDeniedLicense>
<com:isFoundMadeFalseStatement> N </com:isFoundMadeFalseStatement>
<com:isFoundInViolationOfRules> N </com:isFoundInViolationOfRules>
<com:isFoundInCauseOfSuspension> N </com:isFoundInCauseOfSuspension>
<com:isDiscipliend> N </com:isDiscipliend>
<com:isAuthorizedToActAttorney> N </com:isAuthorizedToActAttorney>
<com:isRegulatoryComplaint> N </com:isRegulatoryComplaint>
</regulatoryDisclosure>
<civilDisclosure>
<com:isEnjoined> N </com:isEnjoined>
<com:isFoundInViolationOfRegulation> N </com:isFoundInViolationOfRegulation>
<com:isDismissed> N </com:isDismissed>
<com:isNamedInCivilProceeding> N </com:isNamedInCivilProceeding>
</civilDisclosure>
</disclosureAnswers>
<hasAnnualReceiptsLessThan7Million> Y </hasAnnualReceiptsLessThan7Million>
<isAffiliatedWithReceiptsMoreThan7Million> N </isAffiliatedWithReceiptsMoreThan7Million>
<scheduleA>
<persons>
<person>
<name>
<com:firstName> Michael </com:firstName>
<com:middleName> Anthony </com:middleName>
<com:lastName> Setley </com:lastName>
</name>
<baseInformation>
<titleStatus> Principal </titleStatus>
<statusAcquired> 09-19-1997 </statusAcquired>
<ownershipCode> C </ownershipCode>
<isControPerson> Y </isControPerson>
<crdNumber> 004574796 </crdNumber>
</baseInformation>
</person>
<person>
<name>
<com:firstName> Christopher </com:firstName>
<com:middleName> Myles </com:middleName>
<com:lastName> Gibbons </com:lastName>
</name>
<baseInformation>
<titleStatus> Principal </titleStatus>
<statusAcquired> 09-19-1997 </statusAcquired>
<ownershipCode> C </ownershipCode>
<isControPerson> Y </isControPerson>
<crdNumber> 001995424 </crdNumber>
</baseInformation>
</person>
<person>
<name>
<com:firstName> Daryl </com:firstName>
<com:middleName> Stansfield </com:middleName>
<com:lastName> Peck </com:lastName>
</name>
<baseInformation>
<titleStatus> Principal </titleStatus>
<statusAcquired> 01-01-2005 </statusAcquired>
<ownershipCode> C </ownershipCode>
<isControPerson> Y </isControPerson>
<crdNumber> 001948938 </crdNumber>
</baseInformation>
</person>
</persons>
</scheduleA>
<scheduleC>
<directPersons>
<person>
<type>
<com:add> Add </com:add>
</type>
<baseInformation>
<name>
<com:firstName> Michael </com:firstName>
<com:middleName> Anthony </com:middleName>
<com:lastName> Setley </com:lastName>
</name>
<baseInformation>
<titleStatus> Principal </titleStatus>
<statusAcquired> 09-19-1997 </statusAcquired>
<ownershipCode> C </ownershipCode>
<isControPerson> Y </isControPerson>
<crdNumber> 004574796 </crdNumber>
</baseInformation></baseInformation>
</person>
<person>
<type>
<com:add> Add </com:add>
</type>
<baseInformation>
<name>
<com:firstName> Christopher </com:firstName>
<com:middleName> Myles </com:middleName>
<com:lastName> Gibbons </com:lastName>
</name>
<baseInformation>
<titleStatus> Principal </titleStatus>
<statusAcquired> 09-19-1997 </statusAcquired>
<ownershipCode> C </ownershipCode>
<isControPerson> Y </isControPerson>
<crdNumber> 001995424 </crdNumber>
</baseInformation></baseInformation>
</person>
<person>
<type>
<com:add> Add </com:add>
</type>
<baseInformation>
<name>
<com:firstName> Daryl </com:firstName>
<com:middleName> Stansfield </com:middleName>
<com:lastName> Peck </com:lastName>
</name>
<baseInformation>
<titleStatus> Principal </titleStatus>
<statusAcquired> 01-01-2005 </statusAcquired>
<ownershipCode> C </ownershipCode>
<isControPerson> Y </isControPerson>
<crdNumber> 001948938 </crdNumber>
</baseInformation></baseInformation>
</person>
</directPersons>
</scheduleC>
<maExecutionPage>
<signature>
<com1:signature> Diane E. Lando </com1:signature>
<com1:signerName> Diane E. Lando </com1:signerName>
<com1:title> Assistant Secretary </com1:title>
<com1:date> 04-24-2015 </com1:date>
</signature>
</maExecutionPage>
<controls>
<isSolePropietor> N </isSolePropietor>
<hasNameChange> N </hasNameChange>
<hasDBAName> N </hasDBAName>
<hasPreviousDBAName> N </hasPreviousDBAName>
<hasAdditionalDBANames> N </hasAdditionalDBANames>
<hasMATReg> Y </hasMATReg>
<additionalRegs> N </additionalRegs>
<additionalOffices> Y </additionalOffices>
<hasMailingAddress> N </hasMailingAddress>
<hasAdditionalWebsites> N </hasAdditionalWebsites>
<hasBooksRecords> N </hasBooksRecords>
<isRegisteredFFRA> N </isRegisteredFFRA>
<isAffiliatedOtherBus> N </isAffiliatedOtherBus>
<independentBusinessEmployee> N </independentBusinessEmployee>
<receiveCompensationForMAAFromOtherClients> N </receiveCompensationForMAAFromOtherClients>
<isSucceedingApplicant> N </isSucceedingApplicant>
<isCPForApplicantPolicy> N </isCPForApplicantPolicy>
<isPRCompanyUnder1215> N </isPRCompanyUnder1215>
<hasScheduleB> N </hasScheduleB>
<isSection12Or15ReportingCompany> N </isSection12Or15ReportingCompany>
</controls>
</formData>
</edgarSubmission>


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