Craig R. Mackey
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.
Craig Richard Mackey was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1989. Craig had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 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, 2016 - May 6, 2020
CAPITAL INVESTMENT GROUP, INC.
June 7, 2004 - June 9, 2010
N.N.A.I.A
May 3, 1999 - April 17, 2015
PARK AVENUE SECURITIES LLC
March 25, 1999 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
May 23, 1994 - March 4, 1999
GUARDIAN INVESTOR SERVICES LLC
April 24, 1993 - April 18, 1994
PERSHING LLC
August 7, 1991 - April 15, 1993
MONY SECURITIES CORPORATION
June 27, 1990 - July 11, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 27, 1990 - July 11, 1991
EQUITABLE ADVISORS, LLC
November 15, 1989 - May 29, 1990
W.J. NOLAN & COMPANY, INC.
April 18, 1989 - September 14, 1989
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAPITAL INVESTMENT GROUP, INC.
CRD#: 14752 / SEC#: , 8-31225
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| R.B.S.B. FAMILY TRUST | OWNER | |
| NICHOLSON, WILLIAM BATEMAN SR | SHAREHOLDER | 2585041 |
| BATTLE, RICHARD STAATS | SHAREHOLDER | 2349045 |
| BROOKS, BENJAMIN TIMOTHY III | PRESIDENT | 2206321 |
| BRYANT, RICHARD KING | CEO/TREASURER/FINOP/CO-TRUSTEE | 1069685 |
| DRESSLER, KURT ALAN | SHAREHOLDER | 2381036 |
| EDDINS, WILLIAM HAROLD JR | ASSISTANT VICE PRESIDENT | 1724993 |
| HARDEN, RONALD TODD | SHAREHOLDER | 1528810 |
| KING, RONALD LEE | CHIEF COMPLIANCE OFFICER | 2530489 |
| MCDONALD, CORNELIUS TRAWICK III | ASSISTANT VICE PRESIDENT | 1288377 |
| SADLER, SUZANNE BRYANT | CO-TRUSTEE | 6313854 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 3 |
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.
