Douglas Scott Mackay
Professional Summary
Douglas Scott Mackay, who also goes by Doug Mackay, is a registered financial advisor currently at BROADLEAF PARTNERS, LLC located in Hudson, Ohio. Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Douglas has worked at 3 firms and has passed the Series 63, Series 65, Series 6, Series 2 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Doug Mackay
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
35 years in the financial services industry
Current & Past Employments
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Current Firm
BROADLEAF PARTNERS, LLC
Contact Information
Main Address
9 Aurora Street, Suite #5, Hudson, OH 44236Phone Number
(330) 650-0921# of Employees
7SEC notice filing (6 States and Territories)
Registered to provide investment advisory services in 6 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
582AUM (Assets Under Management)
$551,292,726Similar Advisors
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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.
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Primary Firm SEC Registration
BROADLEAF PARTNERS, LLC
State Registrations and Notice Filings
(11/14/2005)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1992About the Series 6 examSeries 2 — Non-Member General Securities Examination
Passed Jun 1991Series 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jun 1992About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Douglas Scott Mackay's CRS (Customer Relationship Summary).
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