DM
Donald D. Macfayden
CANACCORD GENUITY LLC
NEW YORK, NY 10119
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CRD#: 5390198
DM
Professional summary
Donald Duncan Macfayden is a registered financial professional currently at CANACCORD GENUITY LLC located in New York, New York and CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. .
Donald is registered as a RR (Registered Representative) and started their career in finance in 2010. Donald has worked at 3 firms and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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) - BD
Click below to view Donald Duncan Macfayden'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®
NoneExperience
Current
January 29, 2008 - Present
CANACCORD GENUITY LLC
Office #1: One Pennsylvania Plaza Suite 2900, New York, NY 10119BD
CRD#: 1020
NEW YORK, NY
Current
May 20, 2008 - Present
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
Office #1: 2100 - 40 Temperance Street, Toronto, M5H 0B4RIA
BD
CRD#: 7449
Toronto,
Past
June 7, 2010 - October 25, 2010
GENUITY CAPITAL MARKETS USA CORP.
BD
CRD#: 135674
BOSTON, MA
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".
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
CANACCORD CAPITAL CORPORATION USA, INC. | NORAM INVESTMENT SERVICES, INC. | EQUITY SECURITIES TRADING CO., INC. | CANACCORD WEALTH MANAGEMENT (USA) INC. | CANACCORD WEALTH MANAGEMENT | CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. | CANACCORD GENUITY WEALTH MANAGEMENT | CANACCORD FINANCIAL (USA) INC.
CRD#: 7449 / SEC#: 801-106809, 8-21025
RIA
Registered Investment Advisory firm - SEC (11/2/2015 Approved)Alaska
Registered Investment Advisory firm - SEC (3/22/2021 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/8/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
General Industry/Product Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
CANACCORD CAPITAL CORPORATION USA, INC. | NORAM INVESTMENT SERVICES, INC. | EQUITY SECURITIES TRADING CO., INC. | CANACCORD WEALTH MANAGEMENT (USA) INC. | CANACCORD WEALTH MANAGEMENT | CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. | CANACCORD GENUITY WEALTH MANAGEMENT | CANACCORD FINANCIAL (USA) INC.
CRD#: 7449 / SEC#: 801-106809, 8-21025
RIA
Registered Investment Advisory firm - SEC (11/2/2015 Approved)Alaska
Registered Investment Advisory firm - SEC (3/22/2021 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/8/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
1133 Melville Street Suite 1100, Vancouver, Bc, V6E 4E5
Mailing Address
Pmb 2300 250 H Street, Blaine, WA 98230-4018
Phone number
(604) 643-7300
Established
Minnesota since 07/06/1976
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
31
SEC notice filing (12 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 94 |
| AUM (Assets Under Management) | $ 101,217,366 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 5 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
