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Alison Micucci

Chief Executive Officer, Elected to the Board of Managers at Mackay Shields

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Alison Micucci is Chief Executive Officer, Elected to the Board of Managers of Mackay Shields LLC, a New York investment adviser managing $160B. Alison Micucci has a current broker registration and no current investment-adviser registration and has passed the Series 65, Series 26 and SIE.

Role at Mackay Shields

Title on Schedule A
Chief Executive Officer, Elected to the Board of Managers
Control
Alison Micucci is a control person of Mackay Shields.
Ownership
An individual ownership band is not available in the source record.
Tenure
Alison Micucci has held the filed role since January 2025.

The firm

Mackay Shields LLC
New York, NY

Form ADV filed 6 August 2026

$160B AUM354 clients73 advisers4 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 26 · 2011
  3. Passed Series 65 · 1996

Registrations and exams

Broker registration; no current adviser registration. Alison Micucci has passed 3 qualifying exams.

Examinations

Series 6525 January 1996
Name
Uniform Investment Adviser Law Examination
Series 269 August 2011
Name
Investment Company Products/Variable Contracts Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination

Individual record

Full name
Alison Hiers Micucci
CRD
2709298
Firm
Mackay Shields LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Alison Micucci work?

Alison Micucci has been Chief Executive Officer, Elected to the Board of Managers of Mackay Shields LLC since January 2025, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 6 August 2026

Does Alison Micucci have a current investment-adviser registration?

Alison Micucci has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Alison Micucci passed?

Alison Micucci has passed 3 licensing exams: the Series 65, Series 26 and SIE. The earliest, the Series 65, was passed in January 1996.

Source: IAPD individual record, checked 17 October 2026

Leadership at Mackay Shields

  • Michael Corker
    Chief Financial Officer, Senior Managing Director
  • Christopher Fitzgerald
    Chief Compliance Officer, Managing Director
  • Naim Abou-Jaoude
    Chairman of the Board of Managers
  • Rene Bustamante
    Chief Administrative Officer, Executive Managing Director
  • Michael Depalma
    Senior Managing Director
  • Robert Dimella
    Executive Managing Director
  • Francis Harte
    Elected to the Board of Managers
  • Alain Karaoglan
    Elected to the Board of Managers
  • Young Lee
    General Counsel, Senior Managing Director
  • Kirk Lehneis
    Elected to Board of Managers
  • John Loffredo
    Vice Chairman, Executive Managing Director, Elected to the Board of Managers
  • Cornelius Moriarty
    Senior Managing Director
  • Craig Sabal
    Elected to the Board of Managers
  • Andrew Susser
    Executive Managing Director

Sources

  1. IAPD individual record, CRD 2709298. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Mackay Shields LLC, filed 6 August 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Alison Micucci or Mackay Shields LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.