Gregory J. Mech

THE CAPROCK GROUP

NEWPORT BEACH, CA 92660

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CRD#: 730559

Professional summary

Gregory James Mech, who also goes by Gregory J Mech, is a registered financial advisor currently at THE CAPROCK GROUP, LLC located in Newport Beach, California.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Gregory has worked at 3 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Gregory J Mech

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.

SILVERLAKES P.O. BOX 609 SAN JUAN CAPISTRANO, CA 92693 YOUTH SOCCER FACILITY NON INVESTMENT RELATED MARCH 2011 TO PRESENT PRESIDENT DUTIES INCLUDE DEVELOPING A SOCCER FACILITY FOR YOUTH SOCCER LEAGUES AND TOURNAMENTS DEVOTES 12 HOURS PER MONTH TO THIS ACTIVITY INSPIRE PARTNERS 10 HERMITAGE LANE LAGUNA NIGUEL, CA 92677 NON-INVESTMENT RELATED EQUESTRIAN OWNER JANUARY 2011 TO PRESENT CONSULTING TO BLENHEIM EQUISPORTS DEVOTES 2 HOURS PER MONTH TO THIS ACTIVITY, 0 OF WHICH ARE DURING SECURITIES TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory James Mech'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®

None

Experience

Current

March 19, 2013 - Present

THE CAPROCK GROUP, LLC

Office #1: 520 Newport Center Drive Suite 700, Newport Beach, CA 92660

RIA

CRD#: 124272

NEWPORT BEACH, CA

Past

October 12, 2004 - March 1, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LAGUNA HILLS, CA

Past

March 2, 1988 - October 9, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LAGUNA HILLS, CA

Past

October 27, 1986 - March 1, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LAGUNA HILLS, CA

Past

October 4, 1983 - October 18, 1986

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

May 18, 1981 - September 19, 1983

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

THE CAPROCK GROUP, LLC

CRD#: 124272 / SEC#: 801-61642

RIA

Registered Investment Advisory firm - (12/17/2002 Approved)

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
(3/19/2013)

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: 10/30/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/9/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 12/22/1999

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/16/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 1/16/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

THE CAPROCK GROUP, LLC

CRD#: 124272 / SEC#: 801-61642

RIA

Registered Investment Advisory firm - (12/17/2002 Approved)

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Contact information

Main Address

800 West Main Street Suite 1150, Boise, ID 83702

Mailing Address

Phone number

(208) 368-9600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THE CAPROCK GROUP, INC. FORM ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	408
AUM (Assets Under Management)	$ 10,149,325,042

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/17/2025	Cover Page	Report
01/28/2025	Cover Page	Report
10/26/2023	Cover Page	Report

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. Mech

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory James Mech's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

E. F. HUTTON & COMPANY INC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

THE CAPROCK GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/30/1995

Series 63

Date: 9/9/1981

Series 3

Date: 12/22/1999

Series 7

Date: 5/16/1981

Series 8

Date: 1/16/1998

Current Firm

THE CAPROCK GROUP, LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

THE CAPROCK GROUP, LLC

TRUST BUT VERIFY

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