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CM

Charles A. Macleod

Some features on this profile are disabled
CRD#: 7217575
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.

Charles Alastair Roderick Macleod was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 2020. Charles had worked at 2 firms and has passed the Series 63, SIE and Series 7TO 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)

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

January 12, 2022 - March 22, 2023

MERCURY CAPITAL ADVISORS, LLC

BD
CRD#: 152338
NEW YORK, NY
Past

July 16, 2020 - August 13, 2021

BA SECURITIES, LLC

BD
CRD#: 153489
London,

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: 6/18/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/16/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/10/2020
General Securities Representative Examination

Current Firm

MC
MERCURY CAPITAL ADVISORS, LLC
MERCURY CAPITAL ADVISORS, LLC

CRD#: 152338 / SEC#: , 8-68442

BD
Cancelled by SEC on 09/16/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 08/21/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MERCURY CAPITAL ADVISORS GROUP, LPHOLDING COMPANY
D'SOUZA, DARRYL JOHN MR.PRINCIPAL OPERATIONS OFFICER/ FINOP6082948
ESANNASON, CARLO YVANCHIEF COMPLIANCE OFFICER4869110
FRANKLIN, JOHNCEO5719711

Disclosures

Regulatory Event6
Financial1

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

MERCURY CAPITAL ADVISORS, LLC

CRD#: 152338

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