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Craig Charles Mackay

CRD# 2008771·Registered 1989 - 2024
Previously Registered: Being a previously registered professional could mean that Craig 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.

Professional Summary

Craig Charles Mackay was a registered financial advisor. Craig was a previously registered financial professional and started their career in finance 1989 - 2024. 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.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

34 years in the financial services industry

Current & Past Employments

ENGLAND SECURITIES, LLC·CRD# 129932
BD
New York, NY
August 9, 2012 - July 24, 2024
OPPENHEIMER & CO. INC.·CRD# 249
BD
New York, NY
January 14, 2008 - July 24, 2012
CIBC WORLD MARKETS CORP.·CRD# 630
BD
New York, NY
June 16, 2006 - January 14, 2008
TRUIST SECURITIES, INC.·CRD# 6271
BD
New York, NY
November 12, 2003 - May 31, 2006
HNY ASSOCIATES, L.L.C·CRD# 43305
BD
Fort Lee, NJ
September 10, 1997 - October 11, 2001
HUNTER CAPITAL GROUP, L.L.C.·CRD# 39724
BD
Park City, UT
March 6, 1996 - September 5, 1997
CIBC WOOD GUNDY SECURITIES CORP.·CRD# 3801
BD
New York, NY
September 1, 1995 - February 13, 1996
THE ARGOSY SECURITIES GROUP, L.P.·CRD# 27301
BD
New York, NY
September 20, 1993 - September 1, 1995
DB ALEX. BROWN LLC·CRD# 17790
BD
Baltimore, MD
November 21, 1989 - March 6, 1991

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Current Firm

ES
ENGLAND SECURITIES, LLC

ENGLAND SECURITIES, LLC

CRD#: 129932 / SEC#: 8-66274
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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

FINRA licenses (13 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

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

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1994About the Series 63 exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 1993About the Series 7 exam

Series 27 — Financial and Operations Principal Examination

Passed Jan 2023About the Series 27 exam

Series 24 — General Securities Principal Examination

Passed Jan 2023About the Series 24 exam

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CRS (Client Relationship Summary)

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

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