Brian M. Macconnell

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CRD#: 4021421

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.

Brian Michael Macconnell was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 2000. Brian had worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 3, Series 55, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 23, 2015 - October 10, 2018

MCCORMACK FINANCIAL PLANNING INC.

RIA

CRD#: 136857

ATLANTA, GA

Past

June 19, 2015 - December 6, 2016

DEMPSEY LORD SMITH, LLC

RIA

CRD#: 141238

ATLANTA, GA

Past

May 29, 2015 - September 24, 2018

DEMPSEY LORD SMITH, LLC

CRD#: 141238

ATLANTA, GA

Past

April 1, 2015 - May 7, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SANDY SPRINGS, GA

Past

January 30, 2015 - May 7, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SANDY SPRINGS, GA

Past

July 25, 2003 - January 24, 2006

FIG PARTNERS, LLC

CRD#: 41554

ATLANTA, GA

Past

January 2, 2000 - May 29, 2002

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MCCORMACK FINANCIAL PLANNING INC.

CRD#: 136857 / SEC#: 801-133728

RIA

Registered Investment Advisory firm - (6/23/2025 Approved)

Florida

Registered Investment Advisory firm - (7/8/2025 Terminated)

Georgia

Registered Investment Advisory firm - (7/24/2025 Terminated)

Maryland

Registered Investment Advisory firm - (7/8/2025 Terminated)

South Carolina

Registered Investment Advisory firm - (7/8/2025 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/16/2015

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/9/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/28/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/24/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/30/2015

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 11/12/2009

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 11/10/2003

Limited Representative-Equity Trader Exam

Principal/Supervisory Exam

Series 24

Date: 9/6/2016

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 9/21/2000

Registered Options Principal Examination

Current Firm

MCCORMACK FINANCIAL PLANNING INC.

CRD#: 136857 / SEC#: 801-133728

RIA

Registered Investment Advisory firm - (6/23/2025 Approved)

Florida

Registered Investment Advisory firm - (7/8/2025 Terminated)

Georgia

Registered Investment Advisory firm - (7/24/2025 Terminated)

Maryland

Registered Investment Advisory firm - (7/8/2025 Terminated)

South Carolina

Registered Investment Advisory firm - (7/8/2025 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2022 Terminated)

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Contact information

Main Address

5605 Glenridge Drive Suite 950, Atlanta, GA 30342

Mailing Address

Phone number

(404) 236-7316

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MCCORMACK FINANCIAL PLANNING WRAP FEE BROCHURE (5/22/2025)

MCCORMACK FINANCIAL PLANNING DISCLOSURE BROCHURE (5/22/2025)

Regulatory assets under management

Total Number of Accounts	561
AUM (Assets Under Management)	$ 103,000,000

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.

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Advisor Monitoring

Firm Stability Insights

Brian M. Macconnell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DEMPSEY LORD SMITH, LLC

DEMPSEY LORD SMITH, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

FIG PARTNERS, LLC

E*TRADE SECURITIES LLC

Primary Firm SEC Registration

MCCORMACK FINANCIAL PLANNING INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/16/2015

Series 65

Date: 1/9/2002

Series 63

Date: 1/28/2000

SIE

Date: 9/24/2018

Series 7

Date: 1/30/2015

Series 3

Date: 11/12/2009

Series 55

Date: 11/10/2003

Series 24

Date: 9/6/2016

Series 4

Date: 9/21/2000

Current Firm

MCCORMACK FINANCIAL PLANNING INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MCCORMACK FINANCIAL PLANNING INC.

TRUST BUT VERIFY

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