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Cory J. Mackay

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CRD#: 6675330
CM

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.

Cory James Mackay, who also goes by Cory J Mackay, Cory Mackay, was a registered financial professional .

Cory is a previously registered financial professional and started their career in finance in 2016. Cory had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cory J Mackay | Cory Mackay

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.
(1)Name of Business: Addison Avenue Investment Services Address: 2201 9th Avenue Suite 102, Seattle, WA, 98121, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: Yes Start Date: 09/10/2018 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Provide Financial Advice to our members (2)Name of Business: First Tech Federal Credit Union Address: 2700 156th Ave NE, Suite 225, Seattle, WA, 98007, United States Activity Type: Bank or Credit Union Associate Position/Title: Other Investment Related: Yes Start Date: 09/10/2018 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Relationship Manager - Provide internal and external finance support for Addison Avenue and Raymond James.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 14, 2023 - November 8, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
REDMOND, WA
Past

July 5, 2023 - November 6, 2023

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
REDMOND, WA
Past

June 7, 2019 - December 8, 2022

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
Bellevue, WA
Past

September 26, 2018 - December 8, 2022

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
BELLEVUE, WA
Past

August 3, 2016 - November 17, 2017

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
REDMOND, WA

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

State Security Law Exam
IAR
Series 65
Date: 6/1/2019
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/20/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/6/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/2/2016
Investment Company Products/Variable Contracts Representative Examination

Current Firm

FIDELITY PERSONAL AND WORKPLACE ADVISORS
FIDELITY PERSONAL AND WORKPLACE ADVISORS
FIDELITY PERSONAL AND WORKPLACE ADVISORS | FIDELITY PERSONAL AND WORKPLACE ADVISORS LLC

CRD#: 288590 / SEC#: 801-112027

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Contact information

Main Address
245 Summer Street, V2a, Boston, MA 02210
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
15,424

Documents

Latest Form ADV

Part 2 Brochures

FIDELITY WEALTH ADVISOR SOLUTIONS (11/15/2024)
FPWA FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/28/2024)
FPWA FIDELITY GO (3/28/2024)
FPWA FIDELITY MANAGED FIDFOLIOS (3/28/2024)
FPWA FIDELITY STRATEGIC DISCIPLINES (3/28/2024)
FPWA FIDELITY WEALTH SERVICES (3/28/2024)

Regulatory assets under management

Total Number of Accounts1,991,043
AUM (Assets Under Management)$ 818,776,100,963

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/22/2024
Cover Page
Report
10/23/2023
Cover Page
Report
01/06/2023
Cover Page
Report

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

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY PERSONAL AND WORKPLACE ADVISORS

CRD#: 288590

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