Stephen Walter Mack
CFP®Professional Summary
Stephen Walter Mack, CFP®, who also goes by Stephen W Mack, is a registered financial advisor currently at MACK INVESTMENT SECURITIES, INC. located in Northfield, Illinois. Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Stephen has worked at 5 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 15, Series 5, Series 7, Series 14, Series 53, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stephen W Mack
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Credentials
Years of Experience
45 years in the financial services industry
Current & Past Employments
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Current Firm
MACK INVESTMENT SECURITIES, INC.
Contact Information
Main Address
211 Waukegan Rd., Suite 300 Ste 300, Northfield, IL 60093Mailing Address
211 Waukegan Rd., Suite 300, Northfield, IL 60093Phone Number
(847) 657-6600Established
Illinois since 01/16/1986Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
8SEC notice filing (15 States and Territories)
Registered to provide investment advisory services in 15 US states and territories.
FINRA licenses (26 States and Territories)
Registered to provide investment advisory services in 15 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
1,017AUM (Assets Under Management)
$302,589,639Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
MACK INVESTMENT SECURITIES, INC.
State Registrations and Notice Filings
(11/2/1994)
(10/8/1991)
(5/20/1986)
(4/29/2026)
(12/10/2025)
(6/17/1986)
(5/23/2023)
(6/5/1998)
(3/27/1986)
(7/20/1998)
(6/5/1986)
(7/29/2023)
(3/10/1992)
(8/20/1996)
(1/19/1988)
(12/21/2022)
(5/29/2019)
(8/15/1986)
(6/16/2020)
(12/20/2023)
(3/18/2002)
(8/31/2010)
(4/9/1990)
(6/9/1986)
(4/20/2023)
(6/21/2023)
(7/10/1987)
(3/8/2023)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSeries 15 — Foreign Currency Options Examination
Passed Feb 1985Series 5 — Interest Rate Options Examination
Passed Oct 1981Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Sep 1983SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Stephen Walter Mack's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Walter Mack's CRS (Customer Relationship Summary).
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