Patrick S. Mckay
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.
Patrick St Aubin Mckay, who also goes by Patrick St. Aubin Mckay, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 2000. Patrick had worked at 8 firms and has passed the Series 65, Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2012 - January 7, 2021
AVANTAX INVESTMENT SERVICES, INC.
July 26, 2010 - December 7, 2011
HORNOR, TOWNSEND & KENT, LLC
July 19, 2010 - December 7, 2011
HORNOR, TOWNSEND & KENT, LLC
January 12, 2007 - July 20, 2010
EQUITABLE ADVISORS, LLC
January 8, 2007 - July 20, 2010
EQUITABLE ADVISORS, LLC
October 6, 2004 - November 4, 2005
CETERA WEALTH SERVICES, LLC
July 18, 2002 - October 8, 2004
WADDELL & REED
July 11, 2002 - October 8, 2004
WADDELL & REED
February 27, 2001 - June 18, 2002
PRUDENTIAL EQUITY GROUP, LLC
January 2, 2001 - March 22, 2001
PRUCO SECURITIES, LLC.
September 15, 2000 - November 2, 2000
CETERA FINANCIAL SPECIALISTS LLC
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
Current Firm
AVANTAX INVESTMENT SERVICES, INC.
CRD#: 13686 / SEC#: , 8-29533
Contact information
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVANTAX WEALTH MANAGEMENT, INC. | SOLE SHAREHOLDER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | GENERAL COUNSEL, SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | PRINCIPAL OPERATIONS OFFICER | 1572778 |
| MACKAY, TODD CHRISTOPHER | DIRECTOR AND VICE PRESIDENT | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER | 5769181 |
| NEARY, JOSEPH DANIEL | DIRECTOR AND VICE PRESIDENT | 2993505 |
| WATTS, ANDREW DAVID | PRESIDENT | 4780880 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 4 |
| Bond | 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.
