Gregory Charles Falzone

Employer firm

Capital Client Group, Inc. CRD 6247

Reported services (Item 5G)

• RECOMMENDING AFFILIATE AS INVESTMENT ADVISER OF SMA ASSETS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2017 → 07/2018
  Encompass Advisory Services, Llc
  Katy, TX
• 04/2016 → 04/2017
  Center Coast Capital, Lp
  Houston, TX
• 10/2019 → 04/2022
  Beneficient/Gwg Holdings/Emerson Equity/Inno. Cap. Soln. Llc
  Dallas, TX
• 04/2022 → 06/2025
  Pacific Oak Capital Markets, Llc
  Costa Mesa, CA
• 08/2025 → Present
  Capital Group / Capital Client Group, Inc.
  San Antonio, TX
• 08/2018 → 10/2019
  Massmutual / Mml Investors Services, Llc
  Houston, TX

Previous Registrations

• 2020-02-07 → 2022-04-08
  Emerson Equity Llc
  Dallas, TX
  Katy, TX
  Dallas, TX
  Plano, TX
  Dallas, TX
• 2018-10-31 → 2019-10-23
  Mml Investors Services, Llc
  Houston, TX
  The Woodlands, TX
• 2017-06-30 → 2018-07-25
  Encompass Advisory Services, Llc
  Katy, TX
• 2011-09-09 → 2016-04-07
  Crossmark Global Investments, Inc.
  Houston, TX
• 2004-10-28 → 2011-04-15
  Golden Capital Management, Llc
  Charlotte, NC

Exams

• S66 Uniform Combined State Law Examination
  2025-08-26
• S63 Uniform Securities Agent State Law Examination
  2020-02-15
• S65 Uniform Investment Adviser Law Examination
  2002-05-13

Other Names

• Greg Falzone