James L. Mackay
MACKAY FINANCIAL PLANNING
SPRINGFIELD, MO
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CRD#: 4425867
Professional summary
James Lewis Mackay III, CFP®, who also goes by James Mackay, Jim L Mackay III, Jim Mackay III, Jim Mackay, Jimmy Mackay, is a registered financial advisor currently at MACKAY FINANCIAL PLANNING, LLC located in Springfield, Missouri.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. James has worked at 3 firms and has passed the Series 63, Series 7 and Series 6 exams.
Biography
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"WE WEAR THREE HATS"
Life Planner
The first hat is that of a Life Planner. During this phase, we ask questions to understand exactly what you want to accomplish during your lifetime. We want to understand your goals, desires, dreams, and really get to the heart of what you hope to accomplish with the time you have left.
Financial Planner
The second hat is that of a Financial Planner. Here, we analyze your financial situation, quantify the cost of goals, and through the use of financial tools, design a strategy to maximize the odds of achieving those goals.
Investment Advisor
The third hat we wear is that of an Investment Advisor. Once we truly understand you, your goals and your financial situation, we recommend appropriate financial products to help you achieve success.
NAPFA Start Date
February 18, 2014
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Question & Answer
What are your service offerings?
Investment Planning
Retirement Income Management
Comprehensive Financial Planni...
Education Planning
Retirement Planning
Do you have an area of expertise or specialization?
Baby Boomers
Business Owners
Hourly
Investment Advice with Ongoing...
Investment Advice without Ongo...
Retirement Plan Investment Adv...
Are you a "fiduciary"?
Yes
Aliases
James Mackay | Jim L Mackay Iii | Jim Mackay Iii | Jim Mackay | Jimmy Mackay
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) - RIA
Click below to view James Lewis Mackay III'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®
CFP®
Start date: 2005
Experience
Current
December 16, 2013 - Present
MACKAY FINANCIAL PLANNING, LLC
RIA
CRD#: 169583
SPRINGFIELD, MO
Past
January 19, 2006 - September 7, 2006
VANGUARD ADVISERS, INC.
RIA
CRD#: 106715
CHARLOTTE, NC
Past
July 24, 2001 - September 7, 2006
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
SCOTTSDALE, AZ
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".
MF
MACKAY FINANCIAL PLANNING, LLC
JIM MACKAY FINANCIAL PLANNING, LLC | MACKAY III, JAMES LEWIS | MACKAY FINANCIAL PLANNING, LLC
CRD#: 169583 / SEC#: 801-132302
RIA
Registered Investment Advisory firm - (4/7/2025 Approved)Arkansas
Registered Investment Advisory firm - (4/11/2025 Terminated)Missouri
Registered Investment Advisory firm - (4/7/2025 Terminated)Texas
Registered Investment Advisory firm - (4/7/2025 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Missouri(12/16/2013)
IAR
Texas(4/9/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
MF
MACKAY FINANCIAL PLANNING, LLC
JIM MACKAY FINANCIAL PLANNING, LLC | MACKAY III, JAMES LEWIS | MACKAY FINANCIAL PLANNING, LLC
CRD#: 169583 / SEC#: 801-132302
RIA
Registered Investment Advisory firm - (4/7/2025 Approved)Arkansas
Registered Investment Advisory firm - (4/11/2025 Terminated)Missouri
Registered Investment Advisory firm - (4/7/2025 Terminated)Texas
Registered Investment Advisory firm - (4/7/2025 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2142 W. Chesterfield Blvd E201, Springfield, MO 65807
Mailing Address
Phone number
(417) 268-9191
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 313 |
| AUM (Assets Under Management) | $ 140,115,580 |
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.
