Mark L. Guastaferri

ORIGIN WEALTH ADVISERS

New York, NY 10005

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CRD#: 6132257

Professional summary

Mark Louis Guastaferri, who also goes by Mark L Guastaferri, is a registered financial advisor currently at ORIGIN WEALTH ADVISERS located in New York, New York.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Mark has worked at 4 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark L Guastaferri

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) - RIA

Click below to view Mark Louis Guastaferri'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®

None

Experience

Current

August 31, 2020 - Present

ORIGIN WEALTH ADVISERS

Office #1: 14 Wall Street 20th Floor, New York, NY 10005

RIA

CRD#: 171946

New York, NY

Past

June 2, 2016 - October 11, 2016

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA

CRD#: 116407

Darien, CT

Past

September 21, 2015 - June 3, 2016

HHG & COMPANY, LLC

RIA

CRD#: 104769

DARIEN, CT

Past

February 24, 2013 - January 2, 2015

SYMMETRY PARTNERS

RIA

CRD#: 120982

GLASTONBURY, CT

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

Connecticut
(2/2/2024)

IAR

New York
(4/1/2021)

IAR

Texas
(8/31/2020)

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 65

Date: 8/30/2020

Uniform Investment Adviser Law Examination

Current Firm

ORIGIN WEALTH ADVISERS

BECK, MORGEN J | ORIGIN WEALTH ADVISERS, LLC | ORIGIN WEALTH ADVISERS LLC | ORIGIN WEALTH ADVISERS

CRD#: 171946 / SEC#:

Connecticut

Registered Investment Advisory firm - (2/2/2024 Approved)

New York

Registered Investment Advisory firm - (7/15/2014 Approved)

Texas

Registered Investment Advisory firm - (2/6/2020 Approved)

Washington

Registered Investment Advisory firm - (3/11/2019 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).

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Contact information

Main Address

Austin, TX

Mailing Address

15511 Highway 71 West Suite 110-494, Austin, TX 78738

Phone number

(917) 498-7493

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	271
AUM (Assets Under Management)	$ 67,960,988

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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Mark L. Guastaferri

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Louis Guastaferri's CRS (Customer Relationship Summary).

Certified licenses

Experience

ORIGIN WEALTH ADVISERS

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

HHG & COMPANY, LLC

SYMMETRY PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 8/30/2020

Current Firm

ORIGIN WEALTH ADVISERS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ORIGIN WEALTH ADVISERS

TRUST BUT VERIFY

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