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James Stanley Mackenzie Jr

Investment Adviser Representative at HENNION & WALSH ASSET MANAGEMENT, INC.

Parsippany, NJCRD #2981415Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
28 yrs
States Registered
41 states
Exams Passed
4

Registrations & licenses

Registration type
Dual-registered
Registered in 41 states
AlabamaArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaHawaiiIllinoisIndianaIowaKentuckyLouisianaMaineMarylandMassachusettsMichiganMinnesotaMissouriNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaOhioOklahomaOregonPennsylvaniaSouth CarolinaTexasUtahVirginiaWashingtonWest VirginiaWisconsin
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 6/15/1999
Series 63
Uniform Securities Agent State Law Examination
Passed 3/2/1998
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 2/5/1998

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $50,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Hennion & Walsh Asset Management, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

HENNION & WALSH ASSET MANAGEMENT, INC.Current
11/23/2007Parsippany, NJ
J. B. HANAUER & CO.
6/10/20034/5/2006Parsippany, NJ
RBC DAIN RAUSCHER INC.
5/10/200211/25/2002Florham Park, NJ

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James Stanley Mackenzie Jr has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

James Stanley Mackenzie Jr - Financial Advisor in Parsippany, NJ | AdvisorFinder