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Mark Gardner of NY Life Settled Variable Annuity Dispute

Mark Gardner (CRD # 1170660), a broker registered with NYLife Securities in Frankfort, Kentucky, is involved in a settlement regarding variable annuities, according to his BrokerCheck record, accessed on August 23, 2021. Details are provided below.

On June 8, 2021, an investor alleged that Mark Gardner recommended four variable annuities. Variable annuities are complex investments that often do not work in the investor’s favor. They also come with a variety of fees that can undercut their supposed benefit. The investor sought a waiver of charges and fees associated with the surrender of the annuities and the dispute settled for $64,623.38.

Mark Gardner Background Information

Mark Gardner has passed the following exams:

  • Series 63 Uniform
  • Securities Industry Essentials Examination
  • Series 22 Direct Participation Programs Representative Examination
  • Series 6 Investment Company Products/ Variable Contracts Representative Examination

He is a registered broker in 14 states.

Mark Gardner has only worked with NYLife Securities (CRD #: 5167)

Kurta Law Can Help

If you worked with Mark Gardner of NY Life Securities and you have concerns about your variable annuity investments, contact Kurta Law today. Call 877-600-0098 or email