Gregory C. Falzone
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.
Gregory Charles Falzone, AIF®, CIMA®, who also goes by Greg Falzone, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1999. Gregory had worked at 12 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2025 - July 14, 2026
CAPITAL CLIENT GROUP, INC.
August 13, 2025 - July 14, 2026
CAPITAL CLIENT GROUP, INC.
April 7, 2022 - June 30, 2025
PACIFIC OAK CAPITAL MARKETS, LLC
February 7, 2020 - April 8, 2022
EMERSON EQUITY LLC
November 13, 2019 - April 8, 2022
EMERSON EQUITY LLC
October 31, 2018 - October 23, 2019
MML INVESTORS SERVICES, LLC
August 28, 2018 - October 23, 2019
MML INVESTORS SERVICES, LLC
June 30, 2017 - July 25, 2018
ENCOMPASS ADVISORY SERVICES, LLC
September 9, 2011 - April 7, 2016
CROSSMARK GLOBAL INVESTMENTS, INC.
September 2, 2011 - April 7, 2016
CROSSMARK DISTRIBUTORS, INC.
August 9, 2005 - June 30, 2010
FORESIDE FUND SERVICES, LLC
October 28, 2004 - April 15, 2011
GOLDEN CAPITAL MANAGEMENT, LLC
March 25, 2003 - April 30, 2004
BACAP DISTRIBUTORS, LLC
July 25, 2000 - March 3, 2003
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
April 13, 1999 - July 14, 2000
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
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
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
Contact information
SEC notice filing (24 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | STOCKHOLDER | |
| AGUILAR, ALBERT JR | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, DIRECTOR | 5106724 |
| BURTON, RENE MARGARET | TREASURER, FINANCIAL OPERATIONS PRINCIPAL, VICE PRESIDENT, DIRECTOR | 1956766 |
| MCHALE, TIMOTHY WILLIAM | SECRETARY | 4244021 |
| O'CONNOR, MATTHEW PHILIP | CHAIRMAN & CHIEF EXECUTIVE OFFICER, DIRECTOR | 2427203 |
| PIKEN, KEITH ALAN | SENIOR VICE PRESIDENT, DIRECTOR | 2576730 |
| TRIESSL, MICHAEL JAMES | DIRECTOR | 3060797 |
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.
