Mark Huber: Concorde, Thornwood Advisor Faces $500K-$900K Complaint

Racine, Wisconsin financial advisor Mark Huber (CRD# 5976354) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Concorde Investment Services and an advisor with Concorde Asset Management, doing business as Thornwood Financial.

Mr. Huber’s BrokerCheck report discloses three investor complaints. The most recent, filed in April 2025, alleges that as a representative of Concorde Investment Services, he recommended unsuitable direct investments. The pending complaint alleges damages between $500,000 and $900,000.

A second investor complaint, filed in 2020, alleged that as a Concorde Investment Services representative, he breached contract, violated state securities law, breached his fiduciary duty, and misrepresented an investment in a real estate investment trust (REIT). The complaint reached a settlement of $14,999.

A third investor complaint, filed in 2020, alleged that he violated state securities law and FINRA rules, breached his fiduciary duty, acted negligently, and made misrepresentations regarding direct investments. In 2021 the complaint reached a settlement of $80,000.

Thornwood Financial’s website includes a profile of Mr. Huber that describes his background and approach to working with clients. “Mark helps clients construct and understand customized investment and wealth preservation strategies,” it explains. “He is a big believer in educating clients in the investment strategies they are using and sets a high priority on transparency and accountability. His primary objective is to provide clients with the financial confidence that their portfolios are being actively managed to maximize gains and mitigate risk.”

According to the Financial Industry Regulatory Authority, Mark Huber holds 13 years of securities industry experience. Based in Racine, Wisconsin, he has been registered as a broker with Concorde Investment Services since 2012 and an advisor with Concorde Asset Management since 2013, doing business as Thornwood Financial. He was previously registered with World Equity Group in Arlington Heights, Illinois from 2011 until 2012. His credentials include the passage of four securities industry qualifying exams: the Uniform Investment Adviser Law Examination, or Series 65; the Uniform Securities Agent State Law Examination, or Series 63; the Securities Industry Essentials Examination, or SIE; and the General Securities Representative Examination, or Series 7. He holds 37 state licenses. (Information current as of May 19, 2025.)

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