DM
Douglas R. Mackay
FMSBONDS
North Miami Beach, FL 33180
Some features on this profile are disabled
CRD#: 1240022
DM
Professional summary
Douglas Ross Mackay is a registered financial professional currently at FMSBONDS, INC. located in North Miami Beach, Florida.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 1984. Douglas has worked at 8 firms and has passed the Series 63, Series 52TO, SIE, Series 3, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Douglas Ross Mackay'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
December 2, 2024 - Present
FMSBONDS, INC.
Office #1: 20660 West Dixie Hway, North Miami Beach, FL 33180BD
CRD#: 7793
North Miami Beach, FL
Past
September 17, 2021 - August 30, 2024
LOOP CAPITAL MARKETS LLC
BD
CRD#: 43098
NEW YORK, NY
Past
February 11, 2002 - September 15, 2021
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
February 14, 2000 - February 6, 2002
EBONDTRADE
BD
CRD#: 47396
WALNUT CREEK, CA
Past
July 3, 1996 - July 9, 1996
CITICORP SECURITIES, INC.
BD
CRD#: 7474
NEW YORK, NY
Past
July 2, 1996 - September 23, 1999
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Past
April 30, 1990 - May 11, 1995
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
February 24, 1984 - May 14, 1990
EHRLICH-BOBER & CO., INC.
BD
CRD#: 6998
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(12/2/2024)
RR
Alaska(12/2/2024)
RR
Arizona(12/2/2024)
RR
Arkansas(12/2/2024)
RR
California(12/2/2024)
RR
Colorado(12/2/2024)
RR
Connecticut(12/2/2024)
RR
Delaware(12/2/2024)
RR
District of Columbia(12/2/2024)
RR
Florida(12/2/2024)
RR
Georgia(12/2/2024)
RR
Hawaii(12/2/2024)
RR
Idaho(12/2/2024)
RR
Illinois(12/2/2024)
RR
Indiana(12/2/2024)
RR
Iowa(12/2/2024)
RR
Kansas(12/2/2024)
RR
Kentucky(12/2/2024)
RR
Louisiana(12/2/2024)
RR
Maine(12/2/2024)
RR
Maryland(12/2/2024)
RR
Massachusetts(12/2/2024)
RR
Michigan(12/2/2024)
RR
Minnesota(12/2/2024)
RR
Mississippi(12/2/2024)
RR
Missouri(12/2/2024)
RR
Montana(12/2/2024)
RR
Nebraska(12/2/2024)
RR
Nevada(12/2/2024)
RR
New Hampshire(12/2/2024)
RR
New Jersey(12/2/2024)
RR
New Mexico(12/2/2024)
RR
New York(12/2/2024)
RR
North Carolina(12/2/2024)
RR
North Dakota(12/2/2024)
RR
Ohio(12/2/2024)
RR
Oklahoma(12/2/2024)
RR
Oregon(12/2/2024)
RR
Pennsylvania(12/2/2024)
RR
Puerto Rico(12/2/2024)
RR
Rhode Island(12/2/2024)
RR
South Carolina(12/2/2024)
RR
South Dakota(12/2/2024)
RR
Tennessee(12/2/2024)
RR
Texas(12/2/2024)
RR
Utah(12/2/2024)
RR
Vermont(12/2/2024)
RR
Virginia(12/2/2024)
RR
Washington(12/2/2024)
RR
West Virginia(12/2/2024)
RR
Wisconsin(12/2/2024)
RR
Wyoming(12/2/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FI
FMSBONDS, INC.
FIRST MIAMI SECURITIES, INC. | TAX-FREE BONDS.COM | TAX-FREE BONDS | FMSBONDS.COM | FMSBONDS, INC. | FMS,INC. | FMS, INC. | FMS BONDS, INC. | FMS BONDS
CRD#: 7793 / SEC#: , 8-23280
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
4775 Technology Way, Boca Raton, FL 33431
Mailing Address
4775 Technology Way, Boca Raton, FL 33431
Phone number
(800) 741-1103
Established
Florida since 08/11/1978
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEINSILVER, PAUL | CHAIRMAN OF THE BOARD | 500389 |
| KLOTZ, JAMES ARNOLD | PRESIDENT | 500438 |
| GUERRISE, MATTHEW ANTHONY | CHIEF COMPLIANCE OFFICER | 2673770 |
| PARKER, ANNE MICHELLE | SROP AND CROP | 2226034 |
| SELIGSOHN, MICHAEL STEVEN | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | 2189850 |
| SWINARSKI, THEODORE ANTHONY | SENIOR VICE PRESIDENT - TRADING SUPERVISOR | 1584451 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
Company Information
FMSBONDS, INC.
CRD#: 7793North Miami Beach, FL 33180TRUST BUT VERIFY
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