Niva WealthLet’s talk

Craig Sabal

Elected to the Board of Managers at Mackay Shields

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Craig Sabal is Elected to the Board of Managers of Mackay Shields LLC, a New York investment adviser managing $160B. Craig Sabal has a current broker registration and no current investment-adviser registration and has passed the Series 7, Series 63, Series 24 and SIE.

Role at Mackay Shields

Title on Schedule A
Elected to the Board of Managers
Control
Craig Sabal is a control person of Mackay Shields.
Ownership
An individual ownership band is not available in the source record.
Tenure
Craig Sabal has held the filed role since June 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 24 · 2017
  3. Passed Series 63 · 2003
  4. Passed Series 7 · 2002

Registrations and exams

Broker registration; no current adviser registration. Craig Sabal has passed 4 qualifying exams.

Examinations

Series 6311 February 2003
Name
Uniform Securities Agent State Law Examination
Series 241 May 2017
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 713 October 2002
Name
General Securities Representative Examination

Individual record

Full name
Craig Andrew Sabal
CRD
4591702
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 Craig Sabal work?

Craig Sabal has been Elected to the Board of Managers of Mackay Shields LLC since June 2025, and is a control person of the firm.

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

Does Craig Sabal have a current investment-adviser registration?

Craig Sabal has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Craig Sabal passed?

Craig Sabal has passed 4 licensing exams: the Series 7, Series 63, Series 24 and SIE. The earliest, the Series 7, was passed in October 2002.

Source: IAPD individual record, checked 18 October 2026

Leadership at Mackay Shields

  • Alison Micucci
    Chief Executive Officer, Elected to the Board of Managers
  • 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
  • Andrew Susser
    Executive Managing Director

Sources

  1. IAPD individual record, CRD 4591702. 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 18 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 Craig Sabal or Mackay Shields LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.