Thomas P. Gaffey

LIFEMARK SECURITIES

Pearl River, NY 10965

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CRD#: 2715922

Professional summary

Thomas Patrick Gaffey is a registered financial professional currently at LIFEMARK SECURITIES CORP. located in Pearl River, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1996. Thomas has worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Thomas Patrick Gaffey'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

November 7, 2018 - Present

LIFEMARK SECURITIES CORP.

Office #1: One Blue Hill Plaza #1509-75, Pearl River, NY 10965

RIA

CRD#: 16204

Pearl River, NY

Past

February 27, 2012 - November 8, 2018

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

SAN DIEGO, CA

Past

March 13, 2009 - December 31, 2011

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

BROCKTON, MA

Past

November 30, 2005 - March 19, 2009

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

Past

July 29, 2004 - October 14, 2005

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

July 29, 2004 - October 14, 2005

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

August 21, 2002 - June 7, 2004

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

May 22, 1996 - August 29, 2002

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

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".

LIFEMARK SECURITIES CORP.

LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.

CRD#: 16204 / SEC#: 801-68438, 8-33478

RIA

Registered Investment Advisory firm - SEC (10/17/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Florida
(11/7/2018)

Maine
(5/6/2025)

Massachusetts
(11/7/2018)

New Hampshire
(11/7/2018)

Rhode Island
(11/7/2018)

South Carolina
(5/6/2025)

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: 5/21/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/21/1996

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

LIFEMARK SECURITIES CORP.

LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.

CRD#: 16204 / SEC#: 801-68438, 8-33478

RIA

Registered Investment Advisory firm - SEC (10/17/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

400 West Metro Park, Rochester, NY 14623

Mailing Address

400 West Metro Park, Rochester, NY 14623

Phone number

(585) 424-5672

Established

New York since 04/04/1983

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

SEC notice filing (46 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE 2A (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
KALINOWSKI, ANDREW JOSEPH	VP / BOARD MEMBER/SECRETARY	263409
MICCICHE, VINCENT JR	TREASURER/ FINOP/PFO/POO	702149
PRISCO, JAMES JOSEPH	CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER	2653402
PRISCO, JAMES JOSEPH	PRESIDENT / BOARD MEMBER	2653402
GEORGIEV, ALEXANDRE JR.	CCO OF THE RIA / DIRECTOR OF OPERATIONS	5307830

Regulatory assets under management

Total Number of Accounts	2,021
AUM (Assets Under Management)	$ 461,475,636

Disclosures

Regulatory Event	2
Arbitration	3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Thomas P. Gaffey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Patrick Gaffey's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESTERS EQUITY SERVICES, INC.

THE O.N. EQUITY SALES COMPANY

QUEST CAPITAL STRATEGIES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

NEW ENGLAND SECURITIES

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Primary Firm SEC Registration

LIFEMARK SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/21/1996

SIE

Date: 10/1/2018

Series 6

Date: 5/21/1996

FINRA

Current Firm

LIFEMARK SECURITIES CORP.

Contact information

SEC notice filing (46 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

LIFEMARK SECURITIES CORP.

TRUST BUT VERIFY

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