Geoffrey S. Gaggs

MISSION WEALTH MANAGEMENT, LP

Santa Barbara, CA 93101

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CRD#: 2725114

Professional summary

Geoffrey Sutherland Gaggs, CFP®, who also goes by Geoff Gaggs, is a registered financial advisor currently at MISSION WEALTH MANAGEMENT, LP located in Santa Barbara, California.

Geoffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Geoffrey has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Geoff Gaggs

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. MISSION WEALTH MANAGEMENT LLC, START: 7/2000, 1123 CHAPALA ST. SANTA BARBARA, CA 93101, RIA, INVESTMENT ADVISOR, INVESTMENT RELATED, 160 HOURS PER MONTH, 8 HOURS PER DAY DURING TRADING HOURS. 2. SB Industrial Park, YES. 7735 Jenna Drive Goleta, CA 93117. Administrator. 1/2022. 4 HRS per Month. 0 HRS during Trading Hours. Father oversees 3 industrial buildings in Goleta. Successor currently involved in minor tasks, gets compensated 2K per year.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Geoffrey Sutherland Gaggs'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®

CFP^®

Certified Financial Planner

Start date: 1999

Experience

Current

November 4, 2003 - Present

MISSION WEALTH MANAGEMENT, LP

Office #1: 1111 Chapala Street 3rd Floor, Santa Barbara, CA 93101

RIA

CRD#: 113057

Santa Barbara, CA

Past

September 24, 2013 - July 22, 2021

MUTUAL SECURITIES, INC.

CRD#: 13092

SANTA BARBARA, CA

Past

August 2, 2000 - September 23, 2013

NATIONAL PLANNING CORPORATION

CRD#: 29604

SANTA BARBARA, CA

Past

June 29, 1999 - May 17, 2000

WAVELAND CAPITAL PARTNERS LLC

CRD#: 40054

IRVINE, CA

Past

May 9, 1997 - September 11, 1997

WAVELAND CAPITAL PARTNERS LLC

CRD#: 40054

IRVINE, CA

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".

MISSION WEALTH MANAGEMENT, LP

MISSION WEALTH | MISSION WEALTH MANAGEMENT, LP | MISSION WEALTH MANAGEMENT, LLC

CRD#: 113057 / SEC#: 801-61230

RIA

Registered Investment Advisory firm - (6/7/2002 Approved)

California

Registered Investment Advisory firm - (6/14/2002 Terminated)

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).

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

California
(11/4/2003)

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: 5/10/1996

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/8/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/26/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/21/2014

General Securities Principal Examination

Current Firm

MISSION WEALTH MANAGEMENT, LP

MISSION WEALTH | MISSION WEALTH MANAGEMENT, LP | MISSION WEALTH MANAGEMENT, LLC

CRD#: 113057 / SEC#: 801-61230

RIA

Registered Investment Advisory firm - (6/7/2002 Approved)

California

Registered Investment Advisory firm - (6/14/2002 Terminated)

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Contact information

Main Address

1111 Chapala Street 3rd Floor, Santa Barbara, CA 93101

Mailing Address

Phone number

(805) 882-2360

Established

Firm type

Fiscal year end

# of Employees

145

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MWM FORM ADV PART 2A - FIRM BROCHURE (5/20/2025)

Regulatory assets under management

Total Number of Accounts	12,456
AUM (Assets Under Management)	$ 10,024,060,630

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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Firm Stability Insights

Geoffrey S. Gaggs

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Geoffrey Sutherland Gaggs's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUTUAL SECURITIES, INC.

NATIONAL PLANNING CORPORATION

WAVELAND CAPITAL PARTNERS LLC

WAVELAND CAPITAL PARTNERS LLC

Primary Firm SEC Registration

MISSION WEALTH MANAGEMENT, LP

State Registrations and Notice Filings

Exams

Series 63

Date: 5/10/1996

Series 65

Date: 3/8/1996

SIE

Date: 10/1/2018

Series 7

Date: 7/26/1996

Series 24

Date: 3/21/2014

Current Firm

MISSION WEALTH MANAGEMENT, LP

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MISSION WEALTH MANAGEMENT, LP

TRUST BUT VERIFY

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