The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete. |
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
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| OMB APPROVAL |
| OMB Number: |
3235-0006 |
| Estimated average burden |
| hours per response: |
23.8 |
|
|
| Report for the Calendar Year or Quarter Ended: |
09-30-2017 |
| Check here if Amendment |
|
Amendment Number: |
| This Amendment (Check only one.): |
|
is a restatement. |
|
|
adds new holdings entries. |
| Institutional Investment Manager Filing this Report: |
| Name: |
Concert Wealth Management Inc. |
| Address: |
1900 THE ALAMEDA |
|
1ST FLOOR |
|
SAN JOSE,
CA
95126
|
| Form 13F File Number: |
028-13474 |
The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.
| Person Signing this Report on Behalf of Reporting Manager: |
| Name: |
James Thorn |
| Title: |
Compliance Officer & Advisor Solutions |
| Phone: |
408-856-6224 |
| Signature, Place, and Date of Signing: |
| /s/ James Thorn |
San Jose,
CA
|
11-06-2017 |
| [Signature] |
[City, State] |
[Date] |
| Proxy voting authority for managers 1-4 reflects only their proxy voting and not CONCERT Wealth Management Inc. CONCERT Wealth Management does not vote proxies for its client.
Please note that CONCERT Wealth Management, Inc. is in the process of concluding operations and will file form ADV-W, prior to the end of 2017. We will not be filing form 13F for the 4th quarter of 2017. |
| Report Type (Check only one.): |
| X |
13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) |
| |
13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) |
| |
13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) |
| Form 13F Summary Page |
|
Report Summary: |
|
Number of Other Included Managers: |
4 |
|
|
|
Form 13F Information Table Entry Total: |
25 |
|
Form 13F Information Table Value Total: |
24,688 |
|
(thousands) |
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| List of Other Included Managers: |
| Provide a numbered list of the name(s) and Form 13F file number(s)
of all institutional investment managers with respect to which this report is filed, other than the
manager filing this report. |
| [If there are no entries in this list, state “NONE” and omit the
column headings and list entries.] |
|
No. |
Form 13F File Number |
Name |
|
1 |
|
Howard Financial |
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2 |
|
Good Harbor Financial |
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3 |
|
Adhesion Wealth Advisor Solutions |
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4 |
|
Lord Abbett |