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Tristan S. Mackay

NATIONAL BANK OF CANADA FINANCIAL
Toronto, Ontario, M5X 1J9
Some features on this profile are disabled
CRD#: 5490691
TM

Professional summary

Tristan Scott Mackay is a registered financial professional currently at NATIONAL BANK OF CANADA FINANCIAL INC. .

Tristan is registered as a RR (Registered Representative) and started their career in finance in 2009. Tristan has worked at 5 firms and has passed the Series 63, SIE and Series 37 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tristan Scott Mackay'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®
None

Experience

Current

January 7, 2019 - Present

NATIONAL BANK OF CANADA FINANCIAL INC.

Office #1: 130 King Street, Toronto, Ontario, M5X 1J9
BD
CRD#: 22698
Toronto, Ontario,
Past

January 18, 2018 - November 8, 2018

LAURENTIAN CAPITAL (USA) INC

BD
CRD#: 171211
Toronto,
Past

May 1, 2014 - July 22, 2014

AMTD FINANCIAL MARKETS (USA) LLC

BD
CRD#: 165313
NEW YORK CITY, NY
Past

October 11, 2012 - November 14, 2013

CASIMIR CAPITAL L.P.

BD
CRD#: 105061
TORONTO,
Past

March 10, 2009 - July 18, 2011

WELLINGTON WEST CAPITAL MARKETS (USA) INC.

BD
CRD#: 133617
TORONTO, ONTARIO,

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(1/15/2019)
RR
Alaska
(2/14/2019)
RR
Arizona
(1/16/2019)
RR
Arkansas
(1/15/2019)
RR
California
(1/8/2019)
RR
Colorado
(3/26/2019)
RR
Connecticut
(1/7/2019)
RR
Delaware
(2/1/2019)
RR
District of Columbia
(1/16/2019)
RR
Florida
(1/15/2019)
RR
Georgia
(1/24/2019)
RR
Hawaii
(1/31/2019)
RR
Idaho
(1/11/2019)
RR
Illinois
(3/13/2019)
RR
Indiana
(2/21/2019)
RR
Iowa
(1/14/2019)
RR
Kansas
(1/16/2019)
RR
Kentucky
(1/24/2019)
RR
Louisiana
(1/15/2019)
RR
Maine
(1/7/2019)
RR
Maryland
(1/10/2019)
RR
Massachusetts
(1/8/2019)
RR
Michigan
(1/14/2019)
RR
Minnesota
(1/8/2019)
RR
Mississippi
(2/27/2019)
RR
Missouri
(1/8/2019)
RR
Montana
(1/14/2019)
RR
Nebraska
(2/8/2019)
RR
Nevada
(1/22/2019)
RR
New Hampshire
(1/9/2019)
RR
New Jersey
(2/20/2019)
RR
New Mexico
(1/18/2019)
RR
New York
(1/18/2019)
RR
North Carolina
(1/7/2019)
RR
North Dakota
(1/15/2019)
RR
Ohio
(1/7/2019)
RR
Oklahoma
(1/14/2019)
RR
Oregon
(1/11/2019)
RR
Pennsylvania
(1/21/2019)
RR
Puerto Rico
(1/23/2019)
RR
Rhode Island
(1/9/2019)
RR
South Carolina
(1/8/2019)
RR
South Dakota
(1/15/2019)
RR
Tennessee
(2/19/2019)
RR
Texas
(1/14/2019)
RR
Utah
(1/9/2019)
RR
Vermont
(1/15/2019)
RR
Virginia
(1/8/2019)
RR
Washington
(2/26/2019)
RR
West Virginia
(1/23/2019)
RR
Wisconsin
(1/8/2019)
RR
Wyoming
(1/7/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 4/26/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 37
Date: 3/9/2009
Canada Module of the General Securities Registered Representative (With Options Questions)
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

NB
NATIONAL BANK OF CANADA FINANCIAL INC.
NATIONAL BANC FINANCIAL INC. | PUTNAM, LOVELL, DE GUARDIOLA & THORNTON INC. | PUTNAM, LOVELL & THORNTON INC. | PUTNAM LOVELL SECURITIES INC. | PUTNAM LOVELL NBF SECURITIES INC. | PUTNAM LOVELL NBF | NATIONAL BANK OF CANADA FINANCIAL INC.

CRD#: 22698 / SEC#: , 8-39947

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
65 East 55th Street 8th Floor, New York, NY 10022
Mailing Address
65 East 55th Street 8th Floor, New York, NY 10022
Phone number
(212) 546-7500
Established
Delaware since 06/01/1987
Firm type
Corporation
Fiscal year end
October
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NATIONAL BANK OF CANADA FINANCIAL GROUP INC.SHAREHOLDER
BONDY, TODD RICHARDMANAGING DIRECTOR, CO-HEAD OF US FIXED INCOME SALES & TRADING2526622
DONNELLY, MICHAEL PATRICKMANAGING DIRECTOR, CO-HEAD OF US FIXED INCOME SALES & TRADING2530195
DUBUC, ETIENNECHAIRMAN OF BOARD, EQUITIES SALES SUPERVISOR6628432
GRABOVSKY, YURICHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, AND FINOP4149242
HEALEY, SEAN CHRISTOPHERPRESIDENT, CEO, CTO, MANAGING DIRECTOR, GLOBAL SECURITIES FINANCE, REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL3218329
HOOD, ANDREW PETERANTI-MONEY LAUNDERING COMPLIANCE OFFICER3008883
KATCHOUNI, ALAINMANAGING DIRECTOR AND HEAD OF EQUITIES4863032
LOCAS, YVES JOSEPHMANAGING DIRECTOR, HEAD OF U.S. DEBT SYNDICATION6038023
MCENTYRE, PATRICK MICHAELMANAGING DIRECTOR, INSTITUTIONAL EQUITY ELECTRONIC TRADING AND SERVICES4420353
MCGOWAN, KATIE MARIECHIEF COMPLIANCE OFFICER5111849
MILLER, ROBERT DENNISMANAGING DIRECTOR, HEAD OF U.S. DEBT CAPITAL MARKETS2991181
PETITTO, LOUIS ROBERTCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER6449700

Disclosures

Regulatory Event10

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.

Company Information

NATIONAL BANK OF CANADA FINANCIAL INC.

CRD#: 22698Toronto, Ontario, M5X 1J9

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