Mark P. Gatti

NOVEM GROUP

Topsfield, MA 01983

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CRD#: 1027529

Professional summary

Mark Peter Gatti, CFP® is a registered financial advisor currently at NOVEM GROUP located in Topsfield, Massachusetts.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Mark has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

What are your service offerings?

Divorce Planning

Tax Planning

Investment Planning

Retirement Planning

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.

1) TOPSFIELD FINANCIAL GROUP, OWNER AND AGENT, TAX PREP, NOT INVESTMENT-RELATED, START DATE 2/1982, 60 HRS/MONTH DURING TRADING HOURS AND 72 HRS/MONTH TOTAL 2) NOVEM GROUP, REGISTERED INVESTMENT ADVISER FIRM, INVESTMENT ADVISER REPRESENTATIVE, INVESTMENT-RELATED, START DATE 11/25/2020, 10 HRS/MONTH DURING TRADING HOURS AND TOTAL

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Peter Gatti'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

Start date: 1991

Experience

Current

November 25, 2020 - Present

NOVEM GROUP

Office #1: 7 Grove Street Suite 301, Topsfield, MA 01983

RIA

CRD#: 158964

Topsfield, MA

Past

October 11, 2024 - December 31, 2024

OSAIC WEALTH, INC.

CRD#: 23131

TOPSFIELD, MA

Past

December 16, 2003 - May 6, 2021

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

January 2, 2002 - October 11, 2024

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

TOPSFIELD, MA

Past

November 22, 1996 - December 31, 2001

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

January 27, 1983 - November 13, 1996

SOMERSET SECURITIES, INC.

CRD#: 2493

PORTLAND, OR

Past

April 16, 1982 - August 3, 1982

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

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".

NOVEM GROUP

AMERICAN ADVISORY GROUP | NOVEM GROUP | APFS WEALTH MANAGEMENT, INC. | APFS WEALTH MANAGEMENT, INC

CRD#: 158964 / SEC#: 801-72741

RIA

Registered Investment Advisory firm - (9/22/2011 Approved)

Georgia

Registered Investment Advisory firm - (10/28/2014 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

Florida
(7/8/2021)

IAR

Maine
(10/25/2024)

IAR

Massachusetts
(12/8/2020)

IAR

New Hampshire
(11/25/2020)

IAR

South Carolina
(11/25/2020)

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: 3/19/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/1983

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/18/1982

Investment Company Products/Variable Contracts Representative Examination

Current Firm

NOVEM GROUP

AMERICAN ADVISORY GROUP | NOVEM GROUP | APFS WEALTH MANAGEMENT, INC. | APFS WEALTH MANAGEMENT, INC

CRD#: 158964 / SEC#: 801-72741

RIA

Registered Investment Advisory firm - (9/22/2011 Approved)

Georgia

Registered Investment Advisory firm - (10/28/2014 Terminated)

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Contact information

Main Address

350 Linden Oaks Suite 140, Rochester, NY 14625

Mailing Address

Phone number

(585) 348-9525

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (32 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2B - HERENDEEN (3/24/2025)

ADV PART 2B - MURRAY (3/24/2025)

ADV PART 2B - BARTOLOTTA (3/24/2025)

ADV PART 2B - RACO (3/24/2025)

ADV PART 2B - ROEHRIG (3/24/2025)

ADV PART 2B - MANUEL (3/24/2025)

ADV PART 2B - ESTEVES (3/24/2025)

ADV PART 2B - MORGAN (3/24/2025)

ADV PART 2B - UGONE JAMES (3/24/2025)

ADV PART 2B - TOWER (3/24/2025)

ADV PART 2B - SIMONETTI (3/24/2025)

ADV PART 2B - DEAL (3/24/2025)

ADV PART 2B - BURKE (3/24/2025)

ADV PART 2B - PALUMBOS (3/24/2025)

ADV PART 2B - GERLACH (3/24/2025)

ADV PART 2B - LEAR (3/24/2025)

ADV PART 2B - GENTILE (3/24/2025)

ADV PART 2B - SPRINGER (3/24/2025)

ADV PART 2B - ALTIERI (3/24/2025)

ADV PART 2B - FROEHLICH (3/24/2025)

ADV PART 2B - GATTI (3/24/2025)

ADV PART 2B - WAGNER (3/24/2025)

ADV PART 2B - GIANCURSIO (3/24/2025)

ADV PART 2B - ALBRECHT (3/24/2025)

ADV PART 2B - REINERTSON (3/24/2025)

ADV PART 2B - TAYLOR (3/24/2025)

ADV PART 2B - UGONE GAVIN (3/24/2025)

ADV PART 2A (3/24/2025)

Regulatory assets under management

Total Number of Accounts	5,074
AUM (Assets Under Management)	$ 1,413,641,568

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Mark P. Gatti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Peter Gatti's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

AVANTAX INVESTMENT SERVICES, INC.

SOMERSET SECURITIES, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

NOVEM GROUP

State Registrations and Notice Filings

Exams

Series 63

Date: 3/19/1982

SIE

Date: 10/1/2018

Series 7

Date: 8/20/1983

Series 6

Date: 2/18/1982

Current Firm

NOVEM GROUP

Contact information

SEC notice filing (32 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NOVEM GROUP

TRUST BUT VERIFY

Contact information

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