AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MG

Mark A. Gargano

NATIONAL WEALTH MANAGEMENT GROUP
Brentwood, TN
Some features on this profile are disabled
CRD#: 4447940
MG

Professional summary

Mark Anthony Gargano is a registered financial advisor currently at NATIONAL WEALTH MANAGEMENT GROUP, LLC located in Brentwood, Tennessee.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Mark has worked at 5 firms and has passed the Series 65, Series 66, Series 63, Series 34, Series 3, Series 31, Series 7 and Series 30 exams.

top-8-questions

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.
Mr. Gargano is a Partner of Bannockburn Global Forex, LLC, a foreign exchange company. He receives compensation through foreign exchange "mark up". This compensation is not commission based. This service is not offered to clients of DWA. This business activity generally requires 35% to 45% of Mr. Gargano's business time.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Anthony Gargano'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

May 22, 2025 - Present

NATIONAL WEALTH MANAGEMENT GROUP, LLC

RIA
CRD#: 174883
Brentwood, TN
Past

October 25, 2011 - July 1, 2019

DYNAMIC

RIA
CRD#: 151367
Atlanta, GA
Past

September 9, 2009 - November 10, 2011

MORGAN STANLEY

RIA
CRD#: 149777
ATLANTA, GA
Past

September 1, 2009 - November 10, 2011

MORGAN STANLEY

BD
CRD#: 149777
ATLANTA, GA
Past

December 13, 2007 - September 30, 2009

LPL FINANCIAL LLC

RIA
CRD#: 6413
ALPHARETTA, GA
Past

October 11, 2007 - September 30, 2009

LPL FINANCIAL LLC

BD
CRD#: 6413
ALPHARETTA, GA
Past

September 28, 2005 - May 17, 2007

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
CINCINNATI, OH

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".
NW
NATIONAL WEALTH MANAGEMENT GROUP, LLC
ALPINA FINANCIAL CONSULTANTS | NATIONAL WEALTH MANAGEMENT GROUP, LLC | NATIONAL WEALTH MANAGEMENT GROUP | MODEL WEALTH GROUP, LLC | INFINITE WEALTH PLANNING | GERARDI WEALTH MANAGEMENT, LLC | ALPINA FINANCIAL CONSULTANTS, LLC

CRD#: 174883 / SEC#: 801-80983

RIA
Registered Investment Advisory firm - (2/19/2015 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
Kentucky
(5/22/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/21/2025
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 12/11/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/16/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 34
Date: 3/7/2012
Retail Off-Exchange FOREX Examination
General Industry/Product Exam
RR
Series 3
Date: 9/7/2011
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 31
Date: 10/23/2009
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/27/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 6/5/2013
NFA Branch Manager Examination

Current Firm

NW
NATIONAL WEALTH MANAGEMENT GROUP, LLC
ALPINA FINANCIAL CONSULTANTS | NATIONAL WEALTH MANAGEMENT GROUP, LLC | NATIONAL WEALTH MANAGEMENT GROUP | MODEL WEALTH GROUP, LLC | INFINITE WEALTH PLANNING | GERARDI WEALTH MANAGEMENT, LLC | ALPINA FINANCIAL CONSULTANTS, LLC

CRD#: 174883 / SEC#: 801-80983

RIA
Registered Investment Advisory firm - (2/19/2015 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
11260 Chester Road Suite 250, Cincinnati, OH 45246-0002
Mailing Address
Phone number
(513) 772-2592
Established
Firm type
Fiscal year end
# of Employees
19

SEC notice filing (29 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NWMG WRAP PROGRAM BROCHURE (9/19/2025)
NWMG PART 2A DISCLOSURE BROCHURE (9/19/2025)

Regulatory assets under management

Total Number of Accounts1,066
AUM (Assets Under Management)$ 325,727,820

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.

Company Information

NATIONAL WEALTH MANAGEMENT GROUP, LLC

CRD#: 174883Brentwood, TN

TRUST BUT VERIFY

Monitor Mark Gargano

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics