Marc Morell

Marc A. Morell is chief compliance officer at Concorde, where he leads the firm’s compliance program, regulatory oversight and advisor governance initiatives. He is responsible for strengthening Concorde’s compliance framework while fostering a collaborative, business-minded approach that empowers financial professionals to serve their clients confidently and in accordance with the highest regulatory standards.

With more than 25 years of experience in the financial services industry, Marc brings deep expertise in broker-dealer compliance, anti-money laundering (AML), field supervision, regulatory examinations and risk management. He joined Concorde in 2026 as part of the firm’s continued investment in leadership and operational excellence.

Prior to joining Concorde, Marc served as chief compliance officer and AML compliance officer at BALANZ Capital LLC, where he helped establish and lead the firm’s compliance program following its launch. Earlier in his career, he served as head of field supervision and office of supervisory jurisdiction (OSJ) at Snowden Lane Partners, overseeing compliance for more than 140 registered personnel nationwide. He also held a regional supervisory leadership role at Wells Fargo Advisors, providing oversight for financial advisors across multiple branch offices in the Miami market.

Marc is recognized for his practical, collaborative approach to compliance and his ability to balance regulatory excellence with the needs of independent financial professionals. His experience includes developing compliance programs, leading regulatory initiatives, supervising advisors and working constructively with regulators to support sound governance and long-term organizational growth.

Marc holds FINRA Series 4 (Registered Options Principal), Series 7 (General Securities Representative), Series 9/10 (General Securities Sales Supervisor), Series 24 (General Securities Principal), Series 63 (Uniform Securities Agent State Law) and Series 99 (Operations Professional) registrations.