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Donald Mackenzie

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CRD#: 6804871
DM

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.

Donald Mackenzie, who also goes by Donald Merrie Mackenzie, was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 2018. Donald had worked at 4 firms and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Donald Merrie Mackenzie

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)

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

March 9, 2023 - October 8, 2024

BOFA SECURITIES PRIME, INC.

BD
CRD#: 316331
NEW YORK, NY
Past

July 25, 2019 - August 14, 2023

MERRILL LYNCH PROFESSIONAL CLEARING CORP.

BD
CRD#: 16139
NEW YORK, NY
Past

December 11, 2018 - October 8, 2024

BOFA SECURITIES, INC.

BD
CRD#: 283942
NEW YORK, NY
Past

July 20, 2018 - October 8, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 7/20/2018
Operations Professional Examination

Current Firm

BS
BOFA SECURITIES PRIME, INC.
BOFA SECURITIES PRIME, INC.

CRD#: 316331 / SEC#: , 8-70788

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

Main Address
One Bryant Park, New York, NY 10036
Mailing Address
150 N College St Nc1-028-29-04, Charlotte, NC 28255
Phone number
(646) 743-1295
Established
Delaware since 07/27/2021
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BOFA SECURITIES, INC.SOLE SHAREHOLDER283942
BOURNE, STUART MARKDIRECTOR6611063
DODDS, KEVIN PATRICKCHIEF COMPLIANCE OFFICER1389294
HUEBSCH, KEITH EVANDIRECTOR6367678
MOONEY, SARA RATHBONECHIEF FINANCIAL OFFICER7616382
SANTANNA, VINCENT C.CHIEF OPERATIONS OFFICER & FINOP5290525
SCOTT, MATTHEW ROBERTSCHIEF EXECUTIVE OFFICER & PRESIDENT2522403

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

BOFA SECURITIES PRIME, INC.

CRD#: 316331

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