Mark W. Gaffney

GULFSTREAM CAPITAL

Nederland, CO

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CRD#: 1049040

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.

Question & Answer

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.

I've been a self-employed financial writer since 2015, based out of my residence. This will occupy approximately 1/2 of my time going forward. I write primarily outside of stock market hours, and the activity is complimentary to my financial advisor work. My focus is articles on investing, hedge funds and SEC filings analysis. Additionally, I am still the owner of Gaffney Capital Management, LLC, an independent investment advisory firm. This firm has little to no business and I am not working to grow the business at present.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark William Gaffney's CRS (Customer Relationship Summary).

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

October 10, 1986 - August 16, 1990

TAMARON INVESTMENTS, INC.

CRD#: 14929

Past

November 8, 1985 - October 28, 1986

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

November 26, 1984 - August 16, 1990

TAMARON INVESTMENTS, INC.

CRD#: 14929

ENGLEWOOD, CO

Past

January 30, 1984 - December 10, 1984

B. J. LEONARD AND COMPANY, INC.

CRD#: 62

Past

April 20, 1983 - January 27, 1984

SECO SECURITIES, INC.

CRD#: 5363

Past

April 20, 1983 - April 2, 1986

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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

Colorado
(2/11/2020)

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

IAR

Series 65

Date: 12/18/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/14/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/16/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/11/1991

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 8/9/1988

Registered Options Principal Examination

Current Firm

GULFSTREAM CAPITAL

GULFSTREAM CAPITAL | GULFSTREAM WEALTH MANAGEMENT, LLC | GULFSTREAM CAPITAL LLC | GULFSTREAM CAPITAL CORPORATION

CRD#: 165832 / SEC#:

California

Registered Investment Advisory firm - (12/26/2024 Terminated)

Colorado

Registered Investment Advisory firm - (2/11/2020 Approved)

North Carolina

Registered Investment Advisory firm - (7/16/2014 Approved)

Tennessee

Registered Investment Advisory firm - (1/25/2013 Approved)

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).

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Contact information

Main Address

5731 Lyons View Pike Suite 214, Knoxville, TN 37919

Mailing Address

Phone number

(865) 888-6737

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	416
AUM (Assets Under Management)	$ 74,602,809

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/27/2025	Cover Page	Report
01/29/2024	Cover Page	Report
01/12/2023	Cover Page	Report

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.

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Mark W. Gaffney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark William Gaffney's CRS (Customer Relationship Summary).

Certified licenses

Experience

GAFFNEY CAPITAL MANAGEMENT LLC

DIAMOND PEAK CAPITAL LLC

GAFFNEY CAPITAL MANAGEMENT, INC

ROBERT THOMAS SECURITIES, INC

TAMARON INVESTMENTS, INC.

PRUDENTIAL EQUITY GROUP, LLC

TAMARON INVESTMENTS, INC.

B. J. LEONARD AND COMPANY, INC.

SECO SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 12/18/2018

Series 63

Date: 11/14/1983

Series 7

Date: 4/16/1983

Series 24

Date: 1/11/1991

Series 4

Date: 8/9/1988

Current Firm

GULFSTREAM CAPITAL

Contact information

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

GULFSTREAM CAPITAL

TRUST BUT VERIFY

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