Marc C. Gregoire
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.
Marc Christopher Gregoire, who also goes by Marc C Gregoire, Marc Christopher Gregoire, was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1994. Marc had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2022 - April 11, 2025
NATIONWIDE INVESTMENT ADVISORS, LLC
April 19, 2022 - April 11, 2025
NATIONWIDE INVESTMENT SERVICES CORPORATION
September 28, 2018 - August 1, 2019
CHARLES SCHWAB & CO., INC.
September 28, 2018 - August 1, 2019
CHARLES SCHWAB & CO., INC.
August 2, 2017 - July 19, 2018
ONEAMERICA SECURITIES, INC.
August 2, 2017 - July 19, 2018
ONEAMERICA SECURITIES, INC.
April 1, 2016 - May 1, 2017
THE PRUDENT EXPERT LLC
September 16, 2013 - April 7, 2016
ADP BROKER-DEALER, INC.
January 30, 2013 - October 18, 2013
BIECHELE ROYCE ADVISORS, INC.
July 17, 2012 - January 22, 2013
MUTUAL OF AMERICA SECURITIES LLC
July 17, 2012 - January 22, 2013
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
February 23, 2012 - July 2, 2012
TD AMERITRADE, INC.
February 23, 2012 - July 2, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 15, 2012 - July 2, 2012
TD AMERITRADE, INC.
April 26, 2006 - February 13, 2012
ADP BROKER-DEALER, INC.
July 12, 2005 - November 16, 2005
UBS FINANCIAL SERVICES INC.
June 14, 2005 - November 16, 2005
UBS FINANCIAL SERVICES INC.
May 28, 2003 - April 26, 2005
HIMCO DISTRIBUTION SERVICES COMPANY
October 2, 1995 - April 28, 2003
ADP BROKER-DEALER, INC.
July 12, 1994 - January 17, 1995
BERKSHIRE EQUITY SALES, INC.
Primary Firm SEC Registration
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 270,365 |
| AUM (Assets Under Management) | $ 15,686,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 01/26/2024 | ||
| 10/26/2022 |
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.
