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Gregory Charles Falzone

Pacific OAK Capital Markets, LLC

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About Gregory Charles Falzone

Gregory Charles Falzone is a financial advisor with Pacific Oak Capital Markets, LLC, a firm with an active Broker-Dealer (BD) scope and inactive Investment Advisor (IA) scope. Gregory has been in the financial industry since August 10, 2001. Gregory holds Series 6, 7, 63, and 65 licenses, and a SIE designation. Gregory is licensed in Arkansas, Idaho, Kansas, Louisiana, Montana, Nebraska, North Dakota, Oklahoma, South Dakota, Texas and Wyoming.

Firm Information

Gregory Falzone is currently registered with Pacific OAK Capital Markets, LLC. Pacific OAK Capital Markets, LLC is a Limited Liability Company formed on March 26, 2020. The firm is registered with the Securities and Exchange Commission and all 50 states, as well as Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

18

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Gregory Falzone’s Registration & Firm History

CA

04/07/2022 - Present

Pacific OAK Capital Markets, LLC (COSTA MESA CA)

TX

11/13/2019 - 04/08/2022

EMERSON EQUITY LLC (Dallas TX)

TX

08/28/2018 - 10/23/2019

MML INVESTORS SERVICES, LLC (THE WOODLANDS TX)

TX

09/02/2011 - 04/07/2016

CAPSTONE ASSET PLANNING COMPANY (HOUSTON TX)

NC

08/09/2005 - 06/30/2010

FORESIDE FUND SERVICES, LLC (CHARLOTTE NC)

NC

03/25/2003 - 04/30/2004

BACAP DISTRIBUTORS, LLC (CHARLOTTE NC)

MA

07/25/2000 - 03/03/2003

JOHN HANCOCK FUNDS, LLC (BOSTON MA)

MA

04/13/1999 - 07/14/2000

SIGNATOR INVESTORS, INC. (BOSTON MA)

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Licenses & Designations

BC

Issued 02/15/2020

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 05/13/2002

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/22/2000

Series 7 - General Securities Representative Examination

BC

Issued 04/08/1999

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Gregory Charles Falzone.
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