A. Mackenzie W. Waggaman

AMERICAN INVESTMENT SERVICES

Great Barrington, MA 01230

Some features on this profile are disabled

CRD#: 4742004

Professional summary

A. Mackenzie Worthington Waggaman, who also goes by Alexander W. Waggaman, Mackenzie Waggaman, is a registered financial advisor currently at AMERICAN INVESTMENT SERVICES INC located in Great Barrington, Massachusetts.

A. Mackenzie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. A. Mackenzie has worked at 2 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alexander W. Waggaman | Mackenzie Waggaman

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) - RIA

Click below to view A. Mackenzie Worthington Waggaman's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 28, 2005 - Present

AMERICAN INVESTMENT SERVICES INC

Office #1: 250 Division Street, Great Barrington, MA 01230

RIA

CRD#: 110043

Great Barrington, MA

Past

February 12, 2004 - August 20, 2004

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

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".

AMERICAN INVESTMENT SERVICES INC

CRD#: 110043 / SEC#: 801-14337

RIA

Registered Investment Advisory firm - (2/5/1979 Approved)

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

Massachusetts
(11/28/2005)

IAR

Texas
(3/12/2018)

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: 2/25/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 2/11/2004

General Securities Representative Examination

Current Firm

AMERICAN INVESTMENT SERVICES INC

CRD#: 110043 / SEC#: 801-14337

RIA

Registered Investment Advisory firm - (2/5/1979 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

250 Division Street, Great Barrington, MA 01230

Mailing Address

Po Box 1000, Great Barrington, MA 01230

Phone number

(413) 591-4445

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AIS DISCLOSURE DOCUMENT_31 MARCH 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,421
AUM (Assets Under Management)	$ 1,295,294,172

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.

Similar Advisors

Gregory Holland

O'HAGAN GROUP, INC.

IAR

Bethlehem, PA

Jon Neuhaus

MORGAN STANLEY

IAR

El Segundo, CA

Michael Gimlin

LPL FINANCIAL LLC

IAR

Williamsville, NY

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

A. Mackenzie W. Waggaman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view A. Mackenzie Worthington Waggaman's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERICAN INVESTMENT SERVICES INC

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

AMERICAN INVESTMENT SERVICES INC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/25/2004

Series 7

Date: 2/11/2004

Current Firm

AMERICAN INVESTMENT SERVICES INC

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AMERICAN INVESTMENT SERVICES INC

TRUST BUT VERIFY

Similar Advisors