Todd C. Mackay
CETERA INVESTMENT SERVICES LLC | President
El Segundo, CA 90245
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CRD#: 2799860
Professional summary
Todd Christopher Mackay is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in El Segundo, California and CETERA WEALTH SERVICES, LLC located in El Segundo, California.
Todd is registered as a RR (Registered Representative) and started their career in finance in 2018. Todd has worked at 6 firms and has passed the SIE, Series 7 and Series 24 exams.
Biography
Todd Mackay has been with Avantax since the organization started its journey in wealth management. He was the key architect of the acquisition of HD Vest, a business he subsequently led, and led the strategy and execution of the acquisitions of 1st Global and HK Financial Services (now Avantax Planning Partners) to create one of the largest wealth management firms focused on tax professionals and their wealth management practices.
He is focused on serving the company’s Financial Professionals, CPA affiliates and clients in order to deliver upon the promise of tax intelligent financial planning. Throughout his tenure and through his current responsibilities, Todd has remained focused on driving new clients and assets into the firm, delivering superior service, and increasing the financial and operating metrics across the organization.
Todd has spent his entire career focusing on growing businesses within the wealth management and financial technology industry. Prior to Avantax, he led and founded several emerging financial services businesses. He served as a long-term executive for E*TRADE Financial, and during his tenure drove the company’s Asian Broker Dealer businesses, which included India’s second-largest independent broker dealer. Additionally, he led the company’s RIA business focused on acquiring and growing independent RIAs across country. He has held other leadership roles throughout his career, including Corporate Treasurer, EVP of Corporate Strategy and Development and Investor Relations, and has served on both private and public company boards within the wealth management, broker dealer and financial technology industries.
Todd received an A.B. from Princeton University in economics with an emphasis in mathematics.
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 Todd Christopher Mackay'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 23, 2025 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245BD
CRD#: 15340
El Segundo, CA
Current
January 23, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245Office #2: 2301 Rosecrans Ave #5100, El Segundo, CA 90245BD
CRD#: 13572
EL SEGUNDO, CA
Current
January 23, 2025 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245BD
CRD#: 10358
El Segundo, CA
Current
January 23, 2025 - Present
CETERA ADVISORS LLC
Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245BD
CRD#: 10299
El Segundo, CA
Past
July 26, 2019 - October 26, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
DALLAS, TX
Past
November 14, 2018 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
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
Colorado(9/5/2025)
Exams
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CETERA ADVISORS LLC
CETERA ADVISORS LLC | MULTI-FINANCIAL SECURITIES CORPORATION | MAGIS FINANCIAL PARTNERS | FIRST ALLIED SECURITIES
CRD#: 10299 / SEC#: 801-33020, 8-26892
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
5299 Dtc Blvd #800 Suite 800, Greenwood Village, IL 80111
Mailing Address
400 First Street South Suite 300, Saint Cloud, MN 56301
Phone number
(800) 929-3485
Established
Delaware since 08/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,138
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
Red Flags
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