Hugh M. Mackenzie
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Hugh M Mackenzie was a registered financial professional .
Hugh is a previously registered financial professional and started their career in finance in 2010. Hugh had worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2012 - April 8, 2013
MARINER
November 29, 2011 - April 17, 2013
NEW ENGLAND SECURITIES
November 28, 2011 - April 17, 2013
NEW ENGLAND SECURITIES
June 7, 2010 - August 26, 2011
MORGAN STANLEY
April 5, 2010 - August 26, 2011
MORGAN STANLEY
Primary Firm SEC Registration
MARINER
CRD#: 151664 / SEC#: 801-71691
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MARINER
CRD#: 151664 / SEC#: 801-71691
Contact information
SEC notice filing (31 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,559 |
| AUM (Assets Under Management) | $ 2,352,770,746 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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