Diony
Concepcion

Cambridge Investment Research Advisors, Inc

CRD#2650690
Investment Advisor
in Norwalk, CT

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About this Advisor

Diony Concepcion is a financial advisor based out of Norwalk, Connecticut with a total of 4 years of relevant experience. Concepcion is an employee of Cambridge Investment Research Advisors, Inc. During their career, the advisor has held roles at Morgan Stanley, Merrill Lynch, Pierce, Fenner & Smith Inc, Bank Of America, N.A, Cambridge Investment Research, Inc and Cambridge Investment Research Advisors, Inc. Concepcion holds Series 63, Series 65 and Series 66 licenses, designating them as both a securities agent and an investment advisor representative, and is able to advise clients in Connecticut. Cambridge Investment Research Advisors, Inc is a registered investment firm that has its headquarters in Fairfield, IA. The investment advisory business has offices in 2,023 locations and a total of 3,352 employees. It has $82 billion in assets among its 461,370 customer accounts, making it one of the largest firms in the United States by assets under management. The firm serves six charities and foundations. Of its 461,370 client accounts, just 10% are associated with high-net-worth investors who have more than $1 million in investable assets. The company provides a number of services, including financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, market timing services and educational seminars. Fees for financial advisory services usually depend on which services are provided. However, fees billed by Cambridge Investment Research Advisors, Inc may include any combination of asset-based, hourly, fixed, commission-based and other fees.

Certifications and Registrations

Series 63, Series 65, Series 66

Years Registered*

4 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Market timing services, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions, Others

Office Location

50 Washington St., 7Th Floor
Norwalk, CT 06854

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Cambridge Investment Research Advisors, Inc Brokerage Details

Total Assets Under Management

$82,427,818,654

CT Average: $9,259,360,772
Total Number of Employees

3,352

CT Average: 166
Total Number of Accounts

461,370

CT Average: 7,189
Average Account Size

$178,659

CT Average: $1,287,990

Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Market timing services
  • Educational seminars/workshops

Diony Concepcion Work History

Diony has been registered as a financial advisor for 4 years.*

2019 - Present (5 years)

Cambridge Investment Research, Inc

2019 - Present (5 years)

Cambridge Investment Research Advisors, Inc

2014 - Present (10 years)

Bank Of America, N.A

2014 - 2017 (3 years)

Merrill Lynch, Pierce, Fenner & Smith Inc

2012 - 2014 (2 years)

Morgan Stanley

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

Disclosures

Please visit the SEC profile of Diony Concepcion to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Cambridge Investment Research Advisors, Inc

Tomas Cern
Tolland, CT
Stacy Robinson
South Haven, MI
Herbert Modrak
Glen Allen, VA
Andrew Wittich
Houston, TX
James Hinson
Brentwood, TN
Enrico Bawar
Staten Island, NY
Laurie Taylor
Ormond Beach, FL
John Ladick
Fairfield, IA

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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