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SM

Sean M. Mackay

INVESTX MARKETS
Vancouver, BC, V6E 2E9
Some features on this profile are disabled
CRD#: 7953807
SM
Sean Michael MackayINVESTX MARKETS

Professional summary

Sean Michael Mackay is a registered financial professional currently at INVESTX MARKETS LLC .

Sean is registered as a RR (Registered Representative) and started their career in finance in 2024. Sean has worked at 3 firms and has passed the Series 63, Series 7TO and SIE exams.

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) - BD

Click below to view Sean Michael Mackay's CRS (Customer Relationship Summary).
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

July 6, 2026 - Present

INVESTX MARKETS LLC

Office #1: 1055 West Hastings Street Suite 1420, Vancouver, Bc, V6E 2E9
BD
CRD#: 148248
Vancouver, BC,
Past

March 28, 2025 - June 15, 2026

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

BD
CRD#: 7449
VANCOUVER,
Past

July 24, 2024 - March 12, 2025

HIIVE MARKETS LIMITED

BD
CRD#: 316580
VANCOUVER,

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(7/6/2026)
RR
Colorado
(7/6/2026)
RR
Nebraska
(7/6/2026)
RR
New Jersey
(7/6/2026)
RR
New York
(7/6/2026)
RR
Washington
(7/6/2026)
RR
Wisconsin
(7/6/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 7/29/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/15/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/21/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

IM
INVESTX MARKETS LLC
AUCTUS SECURITIES, LLC | WOODVILLE HALL CAPITAL, LLC | INVESTX MARKETS LLC

CRD#: 148248 / SEC#: , 8-67996

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

Main Address
19 Fulton Street Suite 300, New York, NY 10038
Mailing Address
19 Fulton Street Suite 300, New York, NY 10038
Phone number
(212) 390-9270
Established
Virginia since 10/17/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
INVESTX FINANCIAL (UNITED STATES) INC.100% OWNER
SANDERS, DANIEL TAYLORCEO2673344
SIMON, JOEL CRAIGCCO3062973
VIGLIAROLO, JOSEPH CHARLESFINOP4880434

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

INVESTX MARKETS LLC

CRD#: 148248Vancouver, Bc, V6E 2E9

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