SM
Steven P. Mckay
FRANKLIN DISTRIBUTORS
Boston, MA 02110
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CRD#: 2400046
SM
Professional summary
Steven Paul Mckay is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Boston, Massachusetts.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1995. Steven has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6, Series 24 and Series 26 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 Steven Paul Mckay'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
January 3, 2024 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: 100 Federal Street, Boston, MA 02110BD
CRD#: 109064
Boston, MA
Past
March 31, 2016 - July 3, 2024
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
Boston, MA
Past
January 2, 2015 - March 15, 2016
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
Boston, MA
Past
January 30, 2012 - January 2, 2015
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
Past
November 5, 2010 - February 25, 2011
GLOBAL ATLANTIC DISTRIBUTORS, LLC
BD
CRD#: 8326
ANDOVER, MA
Past
February 29, 2008 - January 23, 2012
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
BD
CRD#: 37819
NORTH ANDOVER, MA
Past
March 31, 1995 - February 29, 2008
MFS FUND DISTRIBUTORS, INC.
BD
CRD#: 31052
NORTH ANDOVER, MA
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(1/3/2024)
RR
Alaska(1/3/2024)
RR
Arizona(1/3/2024)
RR
Arkansas(1/3/2024)
RR
California(1/3/2024)
RR
Colorado(1/3/2024)
RR
Connecticut(1/3/2024)
RR
Delaware(1/3/2024)
RR
District of Columbia(1/3/2024)
RR
Florida(1/3/2024)
RR
Georgia(1/3/2024)
RR
Hawaii(1/3/2024)
RR
Idaho(1/3/2024)
RR
Illinois(1/3/2024)
RR
Indiana(1/3/2024)
RR
Iowa(1/3/2024)
RR
Kansas(1/3/2024)
RR
Kentucky(1/3/2024)
RR
Louisiana(1/3/2024)
RR
Maine(1/3/2024)
RR
Maryland(1/3/2024)
RR
Massachusetts(1/9/2024)
RR
Michigan(1/3/2024)
RR
Minnesota(1/3/2024)
RR
Mississippi(1/3/2024)
RR
Missouri(1/3/2024)
RR
Montana(1/3/2024)
RR
Nebraska(1/3/2024)
RR
Nevada(1/2/2025)
RR
New Hampshire(1/3/2024)
RR
New Jersey(1/3/2024)
RR
New Mexico(1/3/2024)
RR
New York(1/3/2024)
RR
North Carolina(1/2/2025)
RR
North Dakota(1/3/2024)
RR
Ohio(1/3/2024)
RR
Oklahoma(1/3/2024)
RR
Oregon(1/16/2024)
RR
Pennsylvania(1/10/2024)
RR
Puerto Rico(1/3/2024)
RR
Rhode Island(1/3/2024)
RR
South Carolina(1/3/2024)
RR
South Dakota(1/3/2024)
RR
Tennessee(1/3/2024)
RR
Texas(1/3/2024)
RR
Utah(1/12/2024)
RR
Vermont(1/3/2024)
RR
Virgin Islands(1/3/2024)
RR
Virginia(2/6/2024)
RR
Washington(1/3/2024)
RR
West Virginia(2/15/2024)
RR
Wisconsin(1/3/2024)
RR
Wyoming(1/3/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/3/2024
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FD
FRANKLIN DISTRIBUTORS, LLC
FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC
CRD#: 109064 / SEC#: , 8-53089
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
One Franklin Parkway, San Mateo, CA 94403
Mailing Address
1201 Wills Street, Baltimore, MD 21231
Phone number
(800) 632-2350
Established
Delaware since 12/01/2000
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064Boston, MA 02110TRUST BUT VERIFY
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