Jeffrey D. Anderson

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CRD#: 1007686

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jeffrey Douglas Anderson was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 1981. Jeffrey had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 20, 2009 - December 31, 2024

MACKAY SHIELDS LLC

RIA

CRD#: 107717

NEW YORK, NY

Past

April 28, 2009 - April 16, 2019

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

JERSEY CITY, NJ

Past

October 30, 2008 - December 31, 2008

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

October 4, 2001 - October 20, 2008

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

May 5, 1997 - October 4, 2001

FIRST FUND DISTRIBUTORS, INC.

CRD#: 27038

PHOENIX, AZ

Past

March 4, 1991 - November 30, 1994

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

November 11, 1983 - December 19, 1989

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

September 30, 1981 - November 4, 1983

JOHN G. KINNARD AND COMPANY, INCORPORATED

CRD#: 466

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".

MACKAY SHIELDS LLC

CRD#: 107717 / SEC#: 801-5594

RIA

Registered Investment Advisory firm - (4/11/1969 Approved)

Oklahoma

Registered Investment Advisory firm - (3/30/2006 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).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 6/29/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/13/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/19/1981

General Securities Representative Examination

Current Firm

MACKAY SHIELDS LLC

CRD#: 107717 / SEC#: 801-5594

RIA

Registered Investment Advisory firm - (4/11/1969 Approved)

Oklahoma

Registered Investment Advisory firm - (3/30/2006 Terminated)

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Contact information

Main Address

299 Park Avenue 32nd Floor, New York, NY 10171

Mailing Address

Phone number

(212) 758-5400

Established

Firm type

Fiscal year end

# of Employees

201

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MACKAY SHIELDS LLC ADV PART 2A BROCHURE 3.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	377
AUM (Assets Under Management)	$ 151,640,537,359

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/29/2025	Cover Page	Report
10/28/2024	Cover Page	Report
07/28/2023	Cover Page	Report
10/28/2022	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Jeffrey D. Anderson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NYLIFE DISTRIBUTORS LLC

QUASAR DISTRIBUTORS, LLC

QUASAR DISTRIBUTORS, LLC

FIRST FUND DISTRIBUTORS, INC.

SECURIAN FINANCIAL SERVICES, INC.

PRUDENTIAL EQUITY GROUP, LLC

JOHN G. KINNARD AND COMPANY, INCORPORATED

Primary Firm SEC Registration

MACKAY SHIELDS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/29/1995

Series 63

Date: 11/13/1981

SIE

Date: 10/1/2018

Series 7

Date: 9/19/1981

Current Firm

MACKAY SHIELDS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MACKAY SHIELDS LLC

TRUST BUT VERIFY

Contact information

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