Gregory H. Marchand
Professional summary
Gregory Henry Marchand, CFP®, ChFC®, CLU®, who also goes by Greg Marchand, Gregory Henry Marchand, Gregory Marchand, is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in Webster, Massachusetts.
Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Gregory has worked at 12 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Gregory Henry Marchand's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gregory Henry Marchand's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2006
Experience
June 12, 2024 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 6 Mechanic St., Webster, MA 01604May 30, 2024 - Present
MONEY CONCEPTS CAPITAL CORP
Office #1: 6 Mechanic St., Webster, MA 01604March 26, 2018 - May 30, 2024
KESTRA ADVISORY SERVICES, LLC
March 20, 2018 - May 30, 2024
KESTRA INVESTMENT SERVICES, LLC
April 5, 2016 - March 26, 2018
ON INVESTMENT MANAGEMENT CO
May 3, 2012 - December 31, 2012
ON INVESTMENT MANAGEMENT CO
December 1, 2011 - March 26, 2018
THE O.N. EQUITY SALES COMPANY
November 13, 2006 - December 2, 2011
TRIAD ADVISORS LLC
May 28, 1999 - November 13, 2006
TOWER SQUARE SECURITIES, INC.
August 15, 1994 - June 8, 1999
ADVANTAGE CAPITAL CORPORATION
January 7, 1991 - August 15, 1994
TOWER SQUARE SECURITIES, INC.
July 20, 1990 - December 31, 1990
ROBERT W. BAIRD & CO. INCORPORATED
July 20, 1990 - January 11, 1991
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 8, 1989 - June 8, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 8, 1989 - June 8, 1990
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/30/2024)
(5/30/2024)
(12/10/2024)
(2/27/2025)
(6/12/2024)
(6/12/2024)
(5/30/2024)
(5/30/2024)
(5/30/2024)
Exams
Series 6TO
Date: 5/30/2024
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONEY CONCEPTS INTERNATIONAL, INC | OWNS 100% OF MONEY CONCEPTS CAPITAL CORP. | |
| BARNETT, CHERYL MORRIS | VICE PRESIDENT | COMPLIANCE OFFICER | 1795785 |
| MATOS, LIZA MARIA | VICE PRESIDENT | COMPLIANCE OFFICER | 4371969 |
| RITTMAN, BARRY RICHARD | VICE PRESIDENT | CHIEF FINANCIAL OFFICER | 1997994 |
| WALSH, DENIS STEPHEN | PRESIDENT | CHIEF EXECUTIVE OFFICER | 1124278 |
| WALSH, JAMES EDWARD | VICE PRESIDENT | ADVERTISING AND COMMUNICATIONS | 2275368 |
| WALSH, MARY THERESE | SR VICE PRESIDENT | CHIEF COMPLIANCE OFFICER | 2829444 |
Regulatory assets under management
| Total Number of Accounts | 14,898 |
| AUM (Assets Under Management) | $ 3,328,625,395 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963Webster, MA 01604TRUST BUT VERIFY
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