MG
Mark W. Goldberg
GATEWAY WEALTH PARTNERS
Glastonbury, CT 06033
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CRD#: 223978
MG
Professional summary
Mark William Goldberg, AIF® is a registered financial advisor currently at GATEWAY WEALTH PARTNERS, LLC located in Glastonbury, Connecticut and LPL FINANCIAL LLC located in Glastonbury, Connecticut.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1968. Mark has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 1 and Series 24 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.
1. 11/29/2017 - GATEWAY FINANCIAL PARTNERS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 1994 - 160 Hours Per Month/40 Hours During Securities Trading. 2. 10/30/2023 - Gateway Wealth Partners - Inv Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Start Date: 10/25/2023 - 80 Hrs/Mo; 4 hrs During trading - I provide investment advisory services through Gateway Wealth Partners, LLC, an independent investment advisor firm. I started this business activity in 10/2023. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Mark William Goldberg's 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®
Experience
Current
September 29, 2023 - Present
GATEWAY WEALTH PARTNERS, LLC
Office #1: 455 Winding Brook Dr., Glastonbury, CT 06033RIA
CRD#: 322789
Glastonbury, CT
Current
November 29, 2017 - Present
LPL FINANCIAL LLC
Office #1: 455 Winding Brook Drive, Glastonbury, CT 06033RIA
BD
CRD#: 6413
Glastonbury, CT
Past
November 29, 2017 - September 5, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
February 11, 2003 - December 5, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
GLASTONBURY, CT
Past
February 7, 2003 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
GLASTONBURY, CT
Past
May 21, 1997 - February 10, 2003
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
GLASTONBURY, CT
Past
February 24, 1995 - February 10, 2003
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
June 7, 1991 - January 26, 1995
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
May 2, 1983 - May 28, 1991
OLD SLIP CAPITAL MANAGEMENT, INC.
BD
CRD#: 7360
NEW YORK, NY
Past
May 3, 1977 - January 10, 1983
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
Past
July 5, 1968 - April 30, 1977
MARK SECURITIES, INC.
BD
CRD#: 555
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".
GW
GATEWAY WEALTH PARTNERS, LLC
ADVISORS' PRIDE | WEALTH GUARDIAN ADVISORS | UNION RETIREMENT | THORSEN WEALTH MANAGEMENT | PENNELL WEALTH ADVISORS | MCCLONE RETIREMENT ADVISORS | INTEGRATED WEALTH PARTNERS | HAGEN WEALTH MANAGEMENT | GATEWAY WEALTH PARTNERS, LLC | GATEWAY FINANCIAL PARTNERS, LLC | FORETHOUGHT PLANNING | FINANCIAL RESOURCE SERVICES | FINANCIAL ADVISORS INC. | BOBER WEALTH MANAGEMENT COMPANY
CRD#: 322789 / SEC#: 801-126635
RIA
Registered Investment Advisory firm - (9/26/2022 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(11/29/2017)
RR
Connecticut(11/29/2017)
IAR
Connecticut(9/29/2023)
RR
Florida(12/8/2017)
RR
Kansas(2/2/2022)
RR
Maine(11/29/2017)
RR
Massachusetts(11/29/2017)
RR
New Hampshire(6/15/2021)
RR
New Jersey(11/29/2017)
RR
New York(9/13/2019)
RR
North Carolina(11/29/2017)
RR
Rhode Island(11/29/2017)
RR
South Carolina(1/9/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 6/27/1968
Registered Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GW
GATEWAY WEALTH PARTNERS, LLC
ADVISORS' PRIDE | WEALTH GUARDIAN ADVISORS | UNION RETIREMENT | THORSEN WEALTH MANAGEMENT | PENNELL WEALTH ADVISORS | MCCLONE RETIREMENT ADVISORS | INTEGRATED WEALTH PARTNERS | HAGEN WEALTH MANAGEMENT | GATEWAY WEALTH PARTNERS, LLC | GATEWAY FINANCIAL PARTNERS, LLC | FORETHOUGHT PLANNING | FINANCIAL RESOURCE SERVICES | FINANCIAL ADVISORS INC. | BOBER WEALTH MANAGEMENT COMPANY
CRD#: 322789 / SEC#: 801-126635
RIA
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Contact information
Main Address
100 W. Lawrence Street Suite 304, Appleton, WI 54911
Mailing Address
Phone number
(920) 731-9293
Established
Firm type
Fiscal year end
# of Employees
66
SEC notice filing (31 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,702 |
| AUM (Assets Under Management) | $ 1,249,772,416 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
GATEWAY WEALTH PARTNERS, LLC
CRD#: 322789Glastonbury, CT 06033TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
