Mark S. Gregory

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CRD#: 2308410

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Mark Steven Gregory was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1993. Mark had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 6, 2012 - December 23, 2019

INVESTMENT RESEARCH CORP

RIA

CRD#: 108208

GRAND RAPIDS, MI

Past

October 29, 2012 - December 23, 2019

WORLD CAPITAL BROKERAGE, INC.

CRD#: 37

DENVER, CO

Past

August 18, 2011 - October 19, 2012

REGAL INVESTMENT ADVISORS LLC

RIA

CRD#: 125004

KENTWOOD, MI

Past

March 17, 2010 - October 19, 2012

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

August 4, 2009 - October 19, 2012

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

KENTWOOD, MI

Past

September 28, 2006 - August 4, 2009

OSAIC SERVICES, INC.

CRD#: 133763

KENTWOOD, MI

Past

October 11, 2002 - September 25, 2006

WADDELL & REED

RIA

CRD#: 866

GRAND RAPIDS, MI

Past

January 14, 1993 - September 25, 2006

WADDELL & REED

CRD#: 866

GRAND RAPIDS, MI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INVESTMENT RESEARCH CORP

INVESTMENT RESEARCH CORP | WORLD CAPITAL BROKERAGE ADVISORY SERVICES

CRD#: 108208 / SEC#: 801-8599

RIA

Registered Investment Advisory firm - (4/26/1972 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/17/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/12/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/12/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

INVESTMENT RESEARCH CORP

INVESTMENT RESEARCH CORP | WORLD CAPITAL BROKERAGE ADVISORY SERVICES

CRD#: 108208 / SEC#: 801-8599

RIA

Registered Investment Advisory firm - (4/26/1972 Approved)

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Contact information

Main Address

1636 North Logan Street, Denver, CO 80203

Mailing Address

Phone number

(303) 626-0634

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IRC BROCHURE (3/6/2025)

IRC WRAP BROCHURE (3/6/2025)

Regulatory assets under management

Total Number of Accounts	177
AUM (Assets Under Management)	$ 63,421,004

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.

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Advisor Monitoring

Firm Stability Insights

Mark S. Gregory

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WORLD CAPITAL BROKERAGE, INC.

REGAL INVESTMENT ADVISORS LLC

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

OSAIC SERVICES, INC.

WADDELL & REED

WADDELL & REED

Primary Firm SEC Registration

INVESTMENT RESEARCH CORP

State Registrations and Notice Filings

Exams

Series 65

Date: 5/17/2010

Series 63

Date: 1/12/1993

SIE

Date: 10/1/2018

Series 6

Date: 1/12/1993

Current Firm

INVESTMENT RESEARCH CORP

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INVESTMENT RESEARCH CORP

TRUST BUT VERIFY

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