Mark A. Gaynoe

LEBENTHAL GLOBAL ADVISORS

Atlanta, GA

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CRD#: 219046

Professional summary

Mark Allen Gaynoe is a registered financial advisor currently at LEBENTHAL GLOBAL ADVISORS, LLC located in Atlanta, Georgia.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1972. Mark has worked at 13 firms and has passed the Series 65, Series 63, Series 7, Series 000 and Series 1 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Allen Gaynoe'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®

None

Experience

Current

August 18, 2020 - Present

LEBENTHAL GLOBAL ADVISORS, LLC

RIA

CRD#: 283303

Atlanta, GA

Past

March 23, 2018 - December 31, 2018

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

RIA

CRD#: 131631

Pensacola, FL

Past

April 23, 1997 - June 20, 1997

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

February 27, 1997 - April 15, 1997

ARGENT SECURITIES, INC.

CRD#: 15297

ATLANTA, GA

Past

May 5, 1986 - October 30, 1987

MORGAN STANLEY DW INC.

CRD#: 7556

Past

February 23, 1982 - March 14, 1986

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

January 25, 1980 - March 5, 1982

MORGAN STANLEY DW INC.

CRD#: 7556

Past

May 18, 1979 - February 2, 1980

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

July 5, 1978 - April 29, 1979

A. G. EDWARDS & SONS, INC.

CRD#: 4

Past

August 12, 1977 - July 2, 1978

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

June 2, 1975 - August 11, 1977

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

Past

October 14, 1974 - March 3, 1975

REYNOLDS SECURITIES, INC.

CRD#: 712

Past

February 13, 1974 - July 6, 1975

BACHE & CO INCORPORATED

CRD#: 7058

Past

June 5, 1973 - December 7, 1974

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

February 25, 1972 - July 8, 1973

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

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".

LEBENTHAL GLOBAL ADVISORS, LLC

LEBENTHAL GLOBAL ADVISORS, LLC | WEALTHSOURCE ADVISORY, LLC | RHINO WEALTH MANAGEMENT

CRD#: 283303 / SEC#: 801-110652

RIA

Registered Investment Advisory firm - (5/31/2017 Approved)

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
(8/18/2020)

IAR

Georgia
(8/7/2023)

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: 1/19/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/4/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/25/1997

General Securities Representative Examination

General Industry/Product Exam

Series 000

Date: 2/22/1972

General Securities Principal Examination

General Industry/Product Exam

Series 1

Date: 2/22/1972

Registered Representative Examination

Current Firm

LEBENTHAL GLOBAL ADVISORS, LLC

LEBENTHAL GLOBAL ADVISORS, LLC | WEALTHSOURCE ADVISORY, LLC | RHINO WEALTH MANAGEMENT

CRD#: 283303 / SEC#: 801-110652

RIA

Registered Investment Advisory firm - (5/31/2017 Approved)

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Contact information

Main Address

200 Parkway Drive South Suite 200, Hauppauge, NY 11788

Mailing Address

Phone number

(516) 785-1800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LEBENTHAL GLOBAL ADVISORS, LLC WRAP BROCHURE (2/25/2025)

LEBENTHAL GLOBAL ADVISORS, LLC DISCLOSURE BROCHURE (2/25/2025)

Regulatory assets under management

Total Number of Accounts	3,279
AUM (Assets Under Management)	$ 819,985,389

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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Advisor Monitoring

Firm Stability Insights

Mark A. Gaynoe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Allen Gaynoe's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

H.J. MEYERS & CO., INC.

ARGENT SECURITIES, INC.

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

A. G. EDWARDS & SONS, INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

REYNOLDS SECURITIES, INC.

BACHE & CO INCORPORATED

E. F. HUTTON & COMPANY INC

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

Primary Firm SEC Registration

LEBENTHAL GLOBAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/19/2018

Series 63

Date: 3/4/1997

Series 7

Date: 2/25/1997

Series 000

Date: 2/22/1972

Series 1

Date: 2/22/1972

Current Firm

LEBENTHAL GLOBAL ADVISORS, LLC

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEBENTHAL GLOBAL ADVISORS, LLC

TRUST BUT VERIFY

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