James Mackay has been Managing Member/CCO of Jim MacKay Financial Planning since October 2013, is a control person of the firm and directly owns 75% or more of it.
Jim Mackay Financial Planning, LLC is a Springfield, MO firm with $176M under management, 71 clients and 2 advisers in one office, as of its March 2026 filing.
Jim MacKay is Founder and Financial Planner of Jim MacKay Financial Planning. MacKay worked as a Financial Planner at Vanguard from 2001 to 2006 and as Senior Portfolio Manager at Central Trust & Investments from 2006 to 2013. Jim MacKay Financial Planning registered with the state of Missouri in December 2013.
James Mackay’s longest registration is the current one, 12 years at Jim MacKay Financial Planning since 2013. Before joining Jim MacKay Financial Planning in 2013, James Mackay was registered through Vanguard Advisers Inc.
- – present · 12 yearsSpringfield, MO · Adviser representative · Firm CRD 169583
- Vanguard Advisers Inc– · under a yearCharlotte, NC · Adviser representative · Firm CRD 106715
Professional designations
Listed by Jim MacKay Financial Planning
- CFP®
Investment adviser representative registrations
James Mackay is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from December 2013; the most recent is Texas, in April 2019.
- MissouriSince 16 December 2013
- TexasResidentSince 9 April 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7 | General Securities Representative Examination | 25 August 2005 |
| Series 63 | Uniform Securities Agent State Law Examination | 30 July 2001 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 23 July 2001 |
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- James Lewis Mackay
- CRD
- 4425867
- Firm
- Jim MacKay Financial Planning · CRD 169583
- Role
- Managing Member/CCO
- Office
- Springfield, MO
- Registration
- Investment adviser registration
- In the industry since
- April 2013
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- mackayfinancialplanning.com
Where does James Mackay work?
James Mackay has been Managing Member/CCO of Jim Mackay Financial Planning, LLC since October 2013, and is a control person of the firm.
Is James Mackay a financial advisor?
Yes. James Mackay has a current investment-adviser registration in Missouri and Texas, through Jim MacKay Financial Planning since December 2013.
How many years of experience does James Mackay have?
James Mackay has 13 years in the financial industry, since April 2013, across 2 adviser firms.
What exams has James Mackay passed?
James Mackay has passed 3 licensing exams: the Series 6, Series 63 and Series 7. The earliest, the Series 6, was passed in July 2001.
Where did James Mackay work before Jim MacKay Financial Planning?
Before Jim MacKay Financial Planning, James Mackay was registered through Vanguard Advisers Inc, January 2006 to September 2006.
Where is James Mackay based?
James Mackay’s registered office is in Springfield, MO.
Is James Mackay registered with FINRA?
No. James Mackay has no current broker registration.
Is James Mackay a CFP?
Jim MacKay Financial Planning lists James Mackay with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
Source: Jim MacKay, CFP® biography, mackayfinancialplanning.com
How can I verify James Mackay’s record?
Search CRD 4425867 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Mackay’s full registration record.