James Lewis Mackay Iii
CFP®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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Who I Serve
Services Offered
- Investment Management
- Retirement Planning
- Financial Planning
- Education Funding
Biography
@import url(http://www.napfa.org/CuteEditor_Files/Style/SyntaxHighlighter.css); @import url(http://www.napfa.org/CuteEditor_Files/Style/SyntaxHighlighter.css); @import url(http://www.napfa.org/CuteEditor_Files/Style/SyntaxHighlighter.css); "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....
Other Aliases
James Mackay, Jim L Mackay Iii, Jim Mackay Iii, Jim Mackay, Jimmy Mackay
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Credentials
Years of Experience
25 years in the financial services industry
Current & Past Employments
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
JIM MACKAY FINANCIAL PLANNING, LLC | MACKAY III, JAMES LEWIS | MACKAY FINANCIAL PLANNING, LLC
Contact Information
Main Address
2142 W. Chesterfield Blvd E201, Springfield, MO 65807Phone Number
(417) 268-9191# of Employees
2SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
384AUM (Assets Under Management)
$176,042,555Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Primary Firm SEC Registration
JIM MACKAY FINANCIAL PLANNING, LLC | MACKAY III, JAMES LEWIS | MACKAY FINANCIAL PLANNING, LLC
State Registrations and Notice Filings
(12/16/2013)
(4/9/2019)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 2001About the Series 6 examSimilar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary) - RIA
Click below to view James Lewis Mackay III's CRS (Customer Relationship Summary).
Services Offered by James
- Investment Management
- Retirement Planning
- Financial Planning
- Education Funding
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
