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CM

Craig C. Mackay

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CRD#: 2008771
CM

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 Charles Mackay was a registered financial professional .

Craig is a previously registered financial professional and started their career in finance in 1989. Craig had worked at 9 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.

top-8-questions

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.

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

August 9, 2012 - July 24, 2024

ENGLAND SECURITIES, LLC

BD
CRD#: 129932
NEW YORK, NY
Past

January 14, 2008 - July 24, 2012

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

June 16, 2006 - January 14, 2008

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

November 12, 2003 - May 31, 2006

TRUIST SECURITIES, INC.

BD
CRD#: 6271
NEW YORK, NY
Past

September 10, 1997 - October 11, 2001

HNY ASSOCIATES, L.L.C

BD
CRD#: 43305
FORT LEE, NJ
Past

March 6, 1996 - September 5, 1997

HUNTER CAPITAL GROUP, L.L.C.

BD
CRD#: 39724
PARK CITY, UT
Past

September 1, 1995 - February 13, 1996

CIBC WOOD GUNDY SECURITIES CORP.

BD
CRD#: 3801
NEW YORK, NY
Past

September 20, 1993 - September 1, 1995

THE ARGOSY SECURITIES GROUP, L.P.

BD
CRD#: 27301
NEW YORK, NY
Past

November 21, 1989 - March 6, 1991

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD

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.

Exams

State Security Law Exam
RR
Series 63
Date: 11/14/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/17/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/2/2023
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination

Current Firm

ES
ENGLAND SECURITIES, LLC
ENGLAND SECURITIES, LLC

CRD#: 129932 / SEC#: , 8-66274

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
1000 Louisiana Street Suite 6550, Houston, TX 77002
Mailing Address
1000 Louisiana Street Suite 6550, Houston, TX 77002
Phone number
(713) 357-9440
Established
District of Columbia since 11/28/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ENGLAND & COMPANY, LLCSHAREHOLDER
ENGLAND, CRAIG WILLIAMMANAGING MEMBER, PRINCIPAL, SHAREHOLDER, CHIEF COMPLIANCE OFFICER2038219
ENGLAND, CRAIG WILLIAMFINOP2038219

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

ENGLAND SECURITIES, LLC

CRD#: 129932

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