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Audley M. Mackel

EDGEPOINT CAPITAL ADVISORS LLC
Beachwood, OH 44122
Some features on this profile are disabled
CRD#: 6879712
AM

Professional summary

Audley M Mackel IV, who also goes by Audley M Mackel, Audley Maurice Mackel IV, Audley Maurice Mackel, is a registered financial professional currently at EDGEPOINT CAPITAL ADVISORS LLC located in Beachwood, Ohio.

Audley is registered as a RR (Registered Representative) and started their career in finance in 2017. Audley has worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Audley M Mackel | Audley Maurice Mackel Iv | Audley Maurice Mackel

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 Audley M Mackel IV'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

November 7, 2025 - Present

EDGEPOINT CAPITAL ADVISORS LLC

Office #1: 2000 Auburn Drive, Suite 330, Beachwood, OH 44122
BD
CRD#: 143695
Beachwood, OH
Past

August 13, 2022 - February 28, 2025

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
Los Angeles, CA
Past

December 21, 2017 - June 26, 2020

COMMONFUND SECURITIES, INC.

BD
CRD#: 43541
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

State Security Law Exam
RR
Series 63
Date: 12/30/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/12/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 1/20/2018
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EC
EDGEPOINT CAPITAL ADVISORS LLC
EDGEPOINT CAPITAL ADVISORS LLC

CRD#: 143695 / SEC#: , 8-67594

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

Main Address
2000 Auburn Drive, Suite 330, Beachwood, OH 44122
Mailing Address
2000 Auburn Drive Suite 330, Beachwood, OH 44122
Phone number
(216) 831-2430
Established
Ohio since 10/01/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
EP HOLDCO CORPSHAREHOLDER OF CLASS A SHARES OF EDGEPOINT CAPITAL ADVISORS LLC
KEEFE, MATTHEW FRANCISSHAREHOLDER OF CLASS B SHARES OF EDGEPOINT CAPITAL ADVISORS LLC5064000
STAFFORD, THOMAS GORDON JRSHAREHOLDER OF CLASS B SHARES OF EDGEPOINT CAPITAL ADVISORS LLC4506126
HERUBIN, JOHN FELIXMANAGING DIRECTOR/CCO4343060
ZUCKER, THOMAS CHARLESPRESIDENT, FINOP

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

EDGEPOINT CAPITAL ADVISORS LLC

CRD#: 143695Beachwood, OH 44122

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