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John Loffredo

Vice Chairman, Executive Managing Director, 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

John Loffredo is Vice Chairman, Executive Managing Director, Elected to the Board of Managers of Mackay Shields LLC, a New York investment adviser managing $160B. John Loffredo has a current broker registration and no current investment-adviser registration and has passed the Series 7, Series 24 and SIE.

Role at Mackay Shields

Title on Schedule A
Vice Chairman, Executive Managing Director, Elected to the Board of Managers
Control
John Loffredo is a control person of Mackay Shields.
Ownership
An individual ownership band is not available in the source record.
Tenure
John Loffredo has held the filed role since July 2009.

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 7 and Series 24 · 2010

Registrations and exams

Broker registration; no current adviser registration. John Loffredo has passed 3 qualifying exams.

Examinations

Series 2422 November 2010
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 712 April 2010
Name
General Securities Representative Examination

Individual record

Full name
John Michael Loffredo
CRD
4518371
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 John Loffredo work?

John Loffredo has been Vice Chairman, Executive Managing Director, Elected to the Board of Managers of Mackay Shields LLC since July 2009, and is a control person of the firm.

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

Does John Loffredo have a current investment-adviser registration?

John Loffredo 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 John Loffredo passed?

John Loffredo has passed 3 licensing exams: the Series 7, Series 24 and SIE. The earliest, the Series 7, was passed in April 2010.

Source: IAPD individual record, checked 17 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
  • Cornelius Moriarty
    Senior Managing Director
  • Craig Sabal
    Elected to the Board of Managers
  • Andrew Susser
    Executive Managing Director

Sources

  1. IAPD individual record, CRD 4518371. 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 John Loffredo or Mackay Shields LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.