Gregory J. Prince

MISSION WEALTH MANAGEMENT, LP

Santa Barbara, CA 93101

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CRD#: 4236834

Professional summary

Gregory John Prince, CFP® is a registered financial advisor currently at MISSION WEALTH MANAGEMENT, LP located in Santa Barbara, California.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Gregory has worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Gregory John Prince's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

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

CFP^®

Certified Financial Planner

Experience

Current

December 17, 2021 - Present

MISSION WEALTH MANAGEMENT, LP

Office #1: 1111 Chapala Street 3rd Floor, Santa Barbara, CA 93101

RIA

CRD#: 113057

Santa Barbara, CA

Past

January 8, 2020 - May 17, 2021

FISHER INVESTMENTS

RIA

CRD#: 107342

SAN MATEO, CA

Past

August 13, 2012 - January 19, 2016

WEEDEN & CO.L.P.

CRD#: 16835

GREENBRAE, CA

Past

May 20, 2008 - September 26, 2012

NEW ALBION PARTNERS LLC

CRD#: 119518

NEW YORK, NY

Past

May 6, 2005 - May 5, 2008

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

October 2, 2000 - May 2, 2005

ADIRONDACK ELECTRONIC MARKETS LLC

CRD#: 104041

NEW YORK, NY

Past

September 22, 2000 - October 2, 2000

KBC SECURITIES USA LLC

CRD#: 46709

NEW YORK, NY

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".

MISSION WEALTH MANAGEMENT, LP

MISSION WEALTH | MISSION WEALTH MANAGEMENT, LP | MISSION WEALTH MANAGEMENT, LLC

CRD#: 113057 / SEC#: 801-61230

RIA

Registered Investment Advisory firm - (6/7/2002 Approved)

California

Registered Investment Advisory firm - (6/14/2002 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(12/17/2021)

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

Series 63

Date: 5/26/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/19/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/5/2006

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 9/27/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/21/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 2/2/2012

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/28/2010

General Securities Principal Examination

Current Firm

MISSION WEALTH MANAGEMENT, LP

MISSION WEALTH | MISSION WEALTH MANAGEMENT, LP | MISSION WEALTH MANAGEMENT, LLC

CRD#: 113057 / SEC#: 801-61230

RIA

Registered Investment Advisory firm - (6/7/2002 Approved)

California

Registered Investment Advisory firm - (6/14/2002 Terminated)

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Contact information

Main Address

1111 Chapala Street 3rd Floor, Santa Barbara, CA 93101

Mailing Address

Phone number

(805) 882-2360

Established

Firm type

Fiscal year end

# of Employees

145

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MWM FORM ADV PART 2A - FIRM BROCHURE (5/20/2025)

Regulatory assets under management

Total Number of Accounts	12,456
AUM (Assets Under Management)	$ 10,024,060,630

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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Gregory J. Prince

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory John Prince's CRS (Customer Relationship Summary).

Certified licenses

Experience

FISHER INVESTMENTS

WEEDEN & CO.L.P.

NEW ALBION PARTNERS LLC

BNP PARIBAS SECURITIES CORP.

ADIRONDACK ELECTRONIC MARKETS LLC

KBC SECURITIES USA LLC

Primary Firm SEC Registration

MISSION WEALTH MANAGEMENT, LP

State Registrations and Notice Filings

Exams

Series 63

Date: 5/26/2005

SIE

Date: 1/19/2016

Series 3

Date: 4/5/2006

Series 55

Date: 9/27/2000

Series 7

Date: 9/21/2000

Series 4

Date: 2/2/2012

Series 24

Date: 10/28/2010

Current Firm

MISSION WEALTH MANAGEMENT, LP

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MISSION WEALTH MANAGEMENT, LP

TRUST BUT VERIFY

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