JM
John W. Mackey
FRANKLIN DISTRIBUTORS
St Louis, MO 63124
Some features on this profile are disabled
CRD#: 3243973
JM
Professional summary
John Wells Mackey, who also goes by John Mackey, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in St Louis, Missouri.
John is registered as a RR (Registered Representative) and started their career in finance in 2006. John has worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
John Mackey
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 John Wells Mackey'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
September 15, 2023 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: 9216 Clayton Road, St Louis, MO 63124BD
CRD#: 109064
St Louis, MO
Past
May 25, 2019 - September 1, 2023
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
NEW YORK, NY
Past
October 1, 2014 - May 25, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
NEW YORK, NY
Past
July 8, 2009 - September 3, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ST. LOUIS, MO
Past
July 8, 2009 - September 3, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
August 8, 2006 - March 17, 2009
GALLATIN ASSET MANAGEMENT, INC.
RIA
CRD#: 136448
ST. LOUIS, MO
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(9/15/2023)
RR
Alaska(9/15/2023)
RR
Arizona(9/15/2023)
RR
Arkansas(9/15/2023)
RR
California(9/15/2023)
RR
Colorado(9/15/2023)
RR
Connecticut(9/15/2023)
RR
Delaware(9/15/2023)
RR
District of Columbia(9/15/2023)
RR
Florida(9/15/2023)
RR
Georgia(9/15/2023)
RR
Hawaii(9/15/2023)
RR
Idaho(9/15/2023)
RR
Illinois(9/15/2023)
RR
Indiana(9/15/2023)
RR
Iowa(9/15/2023)
RR
Kansas(9/15/2023)
RR
Kentucky(9/15/2023)
RR
Louisiana(9/15/2023)
RR
Maine(9/15/2023)
RR
Maryland(9/15/2023)
RR
Massachusetts(9/15/2023)
RR
Michigan(9/15/2023)
RR
Minnesota(9/15/2023)
RR
Mississippi(9/15/2023)
RR
Missouri(9/15/2023)
RR
Montana(9/15/2023)
RR
Nebraska(9/15/2023)
RR
Nevada(9/15/2023)
RR
New Hampshire(9/15/2023)
RR
New Jersey(9/15/2023)
RR
New Mexico(9/15/2023)
RR
New York(9/15/2023)
RR
North Carolina(9/15/2023)
RR
North Dakota(9/15/2023)
RR
Ohio(9/15/2023)
RR
Oklahoma(9/15/2023)
RR
Oregon(9/15/2023)
RR
Pennsylvania(9/15/2023)
RR
Puerto Rico(9/15/2023)
RR
Rhode Island(9/15/2023)
RR
South Carolina(9/15/2023)
RR
South Dakota(9/15/2023)
RR
Tennessee(9/15/2023)
RR
Texas(9/15/2023)
RR
Utah(9/15/2023)
RR
Vermont(9/15/2023)
RR
Virgin Islands(9/15/2023)
RR
Virginia(9/15/2023)
RR
Washington(9/15/2023)
RR
West Virginia(9/15/2023)
RR
Wisconsin(9/15/2023)
RR
Wyoming(9/15/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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#: 109064St Louis, MO 63124TRUST BUT VERIFY
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