MG
Mark A. Gaylord
TRANSAMERICA FINANCIAL ADVISORS
Centennial, CO 80112
Some features on this profile are disabled
CRD#: 869950
MG
Professional summary
Mark Alan Gaylord is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Centennial, Colorado.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Mark has worked at 6 firms and has passed the Series 63, Series 6TO, SIE, Series 7 and Series 1 exams.
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.
Sales of insurance products and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc
THE GAYLORD GROUP; 3773 CHERRY CREEK DR NORTH STE 575, DENVER CO 80209; NOT INVESTMENT RELATED; SUB-S CORPORATION FORMED BY ME TO DO TAX PLANNING FOR MYSELF DUE TO LARGE COMMISSION RECEIVED, PASS THROUGH ENTITY ONLY; PRESIDENT; 3/2006; 2 HRS/MONTH; DORMANT FOR 7 YEARS
CRS (Client Relationship Summary) - RIA
Click below to view Mark Alan Gaylord's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Alan Gaylord'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®
NoneExperience
Current
April 30, 2014 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 9200 E. Mineral Avenue Penthouse Suite 400, Centennial, CO 80112RIA
BD
CRD#: 16164
Centennial, CO
Current
April 25, 2014 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 9200 E. Mineral Avenue Penthouse Suite 400, Centennial, CO 80112RIA
BD
CRD#: 16164
Centennial, CO
Past
September 1, 2011 - September 25, 2013
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
June 23, 2005 - June 13, 2011
MCL FINANCIAL GROUP, INC.
BD
CRD#: 41180
DENVER, CO
Past
May 23, 2005 - June 13, 2011
MCL FINANCIAL GROUP, INC.
RIA
CRD#: 41180
DENVER, CO
Past
August 30, 2001 - August 25, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
June 1, 1998 - August 25, 2004
OSAIC FA, INC.
RIA
CRD#: 3978
DENVER, CO
Past
June 1, 1998 - August 25, 2004
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
August 14, 1979 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
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".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
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
RR
Arkansas(9/14/2021)
RR
California(3/22/2021)
RR
Colorado(4/28/2014)
IAR
Colorado(4/30/2014)
RR
Illinois(8/7/2024)
RR
Michigan(1/23/2024)
RR
Minnesota(8/5/2021)
RR
Missouri(5/6/2022)
RR
Montana(4/4/2025)
RR
New Mexico(2/19/2020)
RR
Tennessee(6/19/2014)
RR
Texas(2/27/2017)
RR
Wyoming(11/21/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/10/1979
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
