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Jack Lee Macdowell

CRD# 4269131·Registered 2000 - 2012
Previously Registered: Being a previously registered professional could mean that Jack 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.

Professional Summary

Jack Lee Macdowell, who also goes by Jack Lee Macdowell Jr., was a registered financial advisor. Jack was a previously registered financial professional and started their career in finance 2000 - 2012. Jack had worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Jack Lee Macdowell Jr.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

26 years in the financial services industry

Current & Past Employments

CARRINGTON INVESTMENT SERVICES, LLC·CRD# 139334
BD
Old Greenwich, CT
December 2, 2009 - September 21, 2012
CARRINGTON INVESTMENT SERVICES, LLC·CRD# 139334
BD
Greenwich, CT
July 20, 2006 - January 17, 2008
NORTHEAST SECURITIES, LLC·CRD# 25996
BD
Greenwich, CT
May 5, 2005 - July 20, 2006
RBC CAPITAL MARKETS, LLC·CRD# 31194
BD
New York, NY
September 17, 2001 - February 4, 2005
CREDIT SUISSE SECURITIES (USA) LLC·CRD# 816
BD
New York, NY
November 7, 2000 - October 17, 2001

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Current Firm

CI
CARRINGTON INVESTMENT SERVICES, LLC

CARRINGTON INVESTMENT SERVICES, LLC

CRD#: 139334 / SEC#: 8-67208
BD
Terminated by SEC on 12/26/2014

Contact Information

Established

Delaware since 12/12/2005

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
CARRINGTON INVESTMENT SERVICES HOLDINGS, LLCSOLE SHAREHOLDER—
FUENTES, LORETO PATRICIACHIEF COMPLIANCE OFFICER & AML OFFICER1780379
FULCO, DARREN ANDREWPRESIDENT/GSP3236913
SALCE, PETER LUDWIGTREASURER/FINOP/CFO2323562
SIEGLER, SCOTT JACOBGENERAL COUNSEL5216018

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 2001About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Nov 2000About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Oct 2010About the Series 24 exam

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CRS (Client Relationship Summary)

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

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JM
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