Mark William Gaffney

Current Employers

Gulfstream Capital

5731 Lyons View Pike Suite 214, Knoxville, TN 37919 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APP_PEND_IARCE	2026-01-01

CO RA
APP_PEND_IARCE

Since 2026-01-01

Branch Locations

Nederland, CO • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Self Employed Journalist	Boulder	CO	12/2015	Present
Gaffney Capital Management	Boulder	CO	11/2018	Present
Gulfstream Capital, Llc	Knoxville	TN	11/2019	Present

12/2015 → Present

Self Employed Journalist

Boulder, CO
11/2018 → Present

Gaffney Capital Management

Boulder, CO
11/2019 → Present

Gulfstream Capital, Llc

Knoxville, TN

Previous Registrations

2019-04-16 → 2020-12-18

Gaffney Capital Management Llc

Boulder, CO
2014-08-22 → 2015-12-11

Diamond Peak Capital Llc

Boulder, CO
2005-07-22 → 2013-06-05

Gaffney Capital Management, Inc

Boulder, CO

Other Businesses

I've been a self-employed financial writer since 2015, based out of my residence. This will occupy approximately 1/2 of my time going forward. I write primarily outside of stock market hours, and the activity is complimentary to my financial advisor work. My focus is articles on investing, hedge funds and SEC filings analysis. Additionally, I am still the owner of Gaffney Capital Management, LLC, an independent investment advisory firm. This firm has little to no business and I am not working to grow the business at present.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2018-12-18
S63	Uniform Securities Agent State Law Examination	1983-11-14

S65 Uniform Investment Adviser Law Examination

2018-12-18
S63 Uniform Securities Agent State Law Examination

1983-11-14

View on SEC IAPD