Mark William Gaffney
Professional Summary
Mark William Gaffney is a registered financial advisor currently at GULFSTREAM CAPITAL located in Nederland, Colorado. Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Mark has worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
GULFSTREAM CAPITAL | GULFSTREAM WEALTH MANAGEMENT, LLC | GULFSTREAM CAPITAL LLC | GULFSTREAM CAPITAL CORPORATION
Contact Information
Main Address
5731 Lyons View Pike Suite 214, Knoxville, TN 37919Phone Number
(865) 888-6737# of Employees
4Documents
Regulatory Assets Under Management
Total Number of Accounts
399AUM (Assets Under Management)
$83,769,207Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/26/2026 | Cover Page | Report |
| 01/27/2025 | Cover Page | Report |
| 01/29/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Mark William Gaffney's CRS (Customer Relationship Summary).
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