James W. Mcmackin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James William Mcmackin, who also goes by Bill Mcmackin, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1971. James had worked at 14 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2014 - December 23, 2015
RAYMOND JAMES & ASSOCIATES, INC.
September 5, 2012 - November 12, 2013
MLV & CO. LLC
October 21, 2010 - June 26, 2012
PRITCHARD CAPITAL PARTNERS, LLC
December 1, 2009 - August 3, 2010
MADISON WILLIAMS AND COMPANY
September 11, 2001 - December 16, 2009
SANDERS MORRIS LLC
April 15, 1993 - February 7, 1996
CIBC WORLD MARKETS CORP.
March 28, 1991 - March 15, 1993
PRINCIPAL FINANCIAL SECURITIES,INC.
September 4, 1990 - March 14, 1991
WELLS FARGO CLEARING SERVICES, LLC
March 20, 1990 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
May 22, 1989 - March 28, 1990
CITIGROUP GLOBAL MARKETS INC.
December 5, 1988 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
September 1, 1988 - December 13, 1988
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
September 1, 1987 - September 1, 1988
BOETTCHER & COMPANY, INC.
September 21, 1983 - September 1, 1987
LOVETT MITCHELL WEBB & GARRISON, INC.
October 6, 1971 - September 22, 1983
UNDERWOOD, NEUHAUS & CO., INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 9/24/1971
Registered Representative ExaminationCurrent Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
