JM
Jonathan R. Mackay
HARTFORD FUNDS DISTRIBUTORS
Wayne, PA 19087
Some features on this profile are disabled
CRD#: 3136624
JM
Professional summary
Jonathan Robert Mackay, who also goes by Jon Mackay, is a registered financial professional currently at HARTFORD FUNDS DISTRIBUTORS, LLC located in Wayne, Pennsylvania.
Jonathan is registered as a RR (Registered Representative) and started their career in finance in 1998. Jonathan has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jon Mackay
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 Jonathan Robert 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
December 16, 2024 - Present
HARTFORD FUNDS DISTRIBUTORS, LLC
Office #1: 690 Lee Road, Wayne, PA 19087BD
CRD#: 45995
Wayne, PA
Past
September 21, 2016 - December 3, 2024
SCHRODER FUND ADVISORS LLC
BD
CRD#: 24129
NEW YORK, NY
Past
October 6, 2009 - June 16, 2016
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Past
April 18, 2000 - October 6, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
December 9, 1998 - April 5, 2000
MS GLOBAL FINANCE, LLC
BD
CRD#: 42485
GREENWICH, CT
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(12/16/2024)
RR
Alaska(12/16/2024)
RR
Arizona(12/16/2024)
RR
Arkansas(12/16/2024)
RR
California(12/16/2024)
RR
Colorado(12/16/2024)
RR
Connecticut(12/16/2024)
RR
Delaware(12/16/2024)
RR
District of Columbia(12/16/2024)
RR
Florida(12/16/2024)
RR
Georgia(12/16/2024)
RR
Hawaii(12/16/2024)
RR
Idaho(12/16/2024)
RR
Illinois(12/16/2024)
RR
Indiana(12/16/2024)
RR
Iowa(12/16/2024)
RR
Kansas(12/16/2024)
RR
Kentucky(12/16/2024)
RR
Louisiana(12/16/2024)
RR
Maine(12/16/2024)
RR
Maryland(12/16/2024)
RR
Massachusetts(12/16/2024)
RR
Michigan(12/16/2024)
RR
Minnesota(12/16/2024)
RR
Mississippi(12/16/2024)
RR
Missouri(12/16/2024)
RR
Montana(12/16/2024)
RR
Nebraska(12/16/2024)
RR
Nevada(12/16/2024)
RR
New Hampshire(12/16/2024)
RR
New Jersey(12/16/2024)
RR
New Mexico(12/16/2024)
RR
New York(12/16/2024)
RR
North Carolina(12/16/2024)
RR
North Dakota(12/16/2024)
RR
Ohio(12/16/2024)
RR
Oklahoma(12/16/2024)
RR
Oregon(12/16/2024)
RR
Pennsylvania(12/16/2024)
RR
Puerto Rico(12/16/2024)
RR
Rhode Island(12/16/2024)
RR
South Carolina(12/16/2024)
RR
South Dakota(12/16/2024)
RR
Tennessee(12/16/2024)
RR
Texas(12/16/2024)
RR
Utah(12/16/2024)
RR
Vermont(12/16/2024)
RR
Virgin Islands(12/16/2024)
RR
Virginia(12/16/2024)
RR
Washington(12/16/2024)
RR
West Virginia(12/16/2024)
RR
Wisconsin(12/16/2024)
RR
Wyoming(12/16/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HF
HARTFORD FUNDS DISTRIBUTORS, LLC
HARTFORD FUNDS DISTRIBUTORS, LLC | HARTFORD INVESTMENT FINANCIAL SERVICES, LLC | HARTFORD INVESTMENT FINANCIAL SERVICES COMPANY
CRD#: 45995 / SEC#: 801-53584, 8-51290
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
690 Lee Road, Wayne, PA 19087
Mailing Address
690 Lee Road, Wayne, PA 19087
Phone number
(610) 386-4088
Established
Delaware since 10/01/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARTFORD FUNDS MANAGEMENT GROUP, INC | OWNER OF HARTFORD FUNDS DISTRIBUTORS, LLC | |
| DIVALERIO, ANDREW | FINOP, CONTROLLER, VICE PRESIDENT | 7634048 |
| FROST, GREGORY A. | CHAIRMAN OF THE BOARD, SR. MANAGING DIRECTOR | 2864924 |
| FURLONG, AMY NICOLE | CHIEF FINANCIAL OFFICER, BOARD MANAGER, EXECUTIVE VICE PRESIDENT | 4835814 |
| GARGER, WALTER FRANCIS | GENERAL COUNSEL AND MANAGING DIRECTOR | 4753411 |
| JEFFERSON, KERAYA SHERIE | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5046523 |
| JORENS, KATHLEEN E | TREASURER, SENIOR VICE PRESIDENT | 6145607 |
| MACKAY, JONATHAN ROBERT | CHIEF EXECUTIVE OFFICER, PRESIDENT | 3136624 |
| MELCHER, JOSEPH GARY | AML OFFICER, EXECUTIVE VICE PRESIDENT | 3152206 |
| SWANSON, MARTIN ALLEN | CHIEF MARKETING OFFICER, VICE PRESIDENT | 1414020 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 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.
