James I. Mackay
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.
James Ian Mackay, who also goes by James I Mackay, James I. Mackay, Jim Mackay, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2017 - November 7, 2017
M&A SECURITIES GROUP, INC.
February 3, 2016 - August 19, 2016
STILLPOINT CAPITAL, LLC
December 15, 2010 - December 18, 2015
LWBJ INVESTMENT SERVICES, LLC
January 5, 2009 - May 24, 2010
COMMERCE WEALTH ADVISERS, LLC
June 18, 2008 - May 24, 2010
DEWAAY FINANCIAL NETWORK, LLC
May 1, 1990 - October 25, 1993
NATIONWIDE FUND DISTRIBUTORS LLC
June 21, 1983 - May 14, 1990
ALLIED GROUP SECURITIES CORPORATION
March 1, 1982 - June 15, 1983
DICKINSON & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
M&A SECURITIES GROUP, INC.
CRD#: 39999 / SEC#: , 8-48926
Contact information
FINRA licenses (48 States and Territories)
Documents
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.
