Mark W. Narby

WESTERN NEW YORK FINANCIAL GROUP

BUFFALO, NY 14202

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CRD#: 2899694

Professional summary

Mark William Narby, who also goes by Mark W Narby, is a registered financial advisor currently at WESTERN NEW YORK FINANCIAL GROUP, LLC located in Buffalo, New York.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Mark has worked at 8 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark W Narby

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) ARCADIA SETTLEMENTS GROUP POSITION: other - Broker NATURE: Insurance - fixed annuities related to resolving personal injury lawsuits INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2000 ADDRESS: 6430 Transit Road, Suite 100, Depew NY 14043 DESCRIPTION: I am contacted by either attorneys or insurance company interested in settling a personal injury lawsuit using a structured settlement. This is a fixed annuity used specifically for this purpose. 2) MARK NARBY POSITION: Broker NATURE: INSURANCE - Fixed Annuities; Long Term Care; Life & Health INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/1997 ADDRESS: 6430 Transit Road, Suite 100, Depew NY 14043 DESCRIPTION: Provide quotes for insurance

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark William Narby'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 8, 2021 - Present

WESTERN NEW YORK FINANCIAL GROUP, LLC

Office #1: 560 Delaware Avenue Suite 102, Buffalo, NY 14202

RIA

CRD#: 306083

BUFFALO, NY

Past

April 11, 2012 - January 21, 2020

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

DEPEW, NY

Past

March 12, 2012 - January 21, 2020

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

DEPEW, NY

Past

July 6, 2011 - March 20, 2012

CANTELLA & CO., INC.

RIA

CRD#: 13905

BUFFALO, NY

Past

May 17, 2006 - March 20, 2012

CANTELLA & CO., INC.

CRD#: 13905

BUFFALO, NY

Past

October 31, 2005 - May 23, 2006

OSAIC SERVICES, INC.

CRD#: 133763

BUFFALO, NY

Past

January 31, 2002 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

March 3, 1999 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

March 3, 1999 - February 22, 2002

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

August 4, 1997 - March 2, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

WESTERN NEW YORK FINANCIAL GROUP, LLC

AQUINO, MICHAEL, ANTHONY | WESTERN NEW YORK FINANCIAL GROUP, LLC | WESTERN NEW YORK FINANCIAL GROUP

CRD#: 306083 / SEC#: 801-117668

RIA

Registered Investment Advisory firm - (11/21/2019 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

New York
(8/8/2021)

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 66

Date: 6/30/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/15/1997

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/12/1997

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: 8/2/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/8/2000

General Securities Principal Examination

Current Firm

WESTERN NEW YORK FINANCIAL GROUP, LLC

AQUINO, MICHAEL, ANTHONY | WESTERN NEW YORK FINANCIAL GROUP, LLC | WESTERN NEW YORK FINANCIAL GROUP

CRD#: 306083 / SEC#: 801-117668

RIA

Registered Investment Advisory firm - (11/21/2019 Approved)

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Contact information

Main Address

560 Delaware Avenue Suite 102, Buffalo, NY 14202

Mailing Address

Phone number

(716) 743-6262

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE - ADV PART 2A (3/19/2025)

Regulatory assets under management

Total Number of Accounts	183
AUM (Assets Under Management)	$ 80,572,019

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 W. Narby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

CANTELLA & CO., INC.

CANTELLA & CO., INC.

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

WESTERN NEW YORK FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/30/2011

Series 63

Date: 8/15/1997

Series 65

Date: 8/12/1997

SIE

Date: 10/1/2018

Series 7

Date: 8/2/1997

Series 24

Date: 12/8/2000

Current Firm

WESTERN NEW YORK FINANCIAL GROUP, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WESTERN NEW YORK FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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