SM
Stephen W. Mack
MACK INVESTMENT SECURITIES
Northfield, IL 60093
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CRD#: 1007322
SM
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 24, Series 4 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen W Mack
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.
Started 5/1/1985- Coldwell Bank Referral Agent- Position allows referral of Real Estate sales. Amount of time is less than 1 hr per month. Started 2023-2026-Regional FINRA Committee- Elected Position- 10-20 hours per year.
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).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1987
Experience
Current
July 20, 1998 - Present
MACK INVESTMENT SECURITIES, INC.
Office #1: 211 Waukegan Rd., Suite 300, Northfield, IL 60093Office #2: 211 Waukegan Road Ste 300, Northfield, IL 60093RIA
BD
CRD#: 17643
Northfield, IL
Current
April 18, 1986 - Present
MACK INVESTMENT SECURITIES, INC.
Office #1: 211 Waukegan Rd., Suite 300, Northfield, IL 60093Office #2: 211 Waukegan Rd., Suite 300, Northfield, IL 60093RIA
BD
CRD#: 17643
Northfield, IL
Past
January 12, 1998 - December 31, 2008
HERITAGE CAPITAL MANAGEMENT INC
RIA
CRD#: 110383
GLENVIEW, IL
Past
February 19, 1986 - April 25, 1986
PBS SECURITIES, INC.
BD
CRD#: 15343
Past
January 29, 1986 - February 10, 1986
MESIROW INVESTMENT SERVICES, INC.
BD
CRD#: 15113
Past
October 2, 1981 - January 31, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MI
MACK INVESTMENT SECURITIES, INC.
MACK INVESTMENT SECURITIES, INC.
CRD#: 17643 / SEC#: 801-29570, 8-35536
RIA
Registered Investment Advisory firm - SEC (5/28/1987 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(11/2/1994)
RR
California(10/8/1991)
RR
Colorado(5/20/1986)
RR
Florida(6/17/1986)
IAR
Florida(5/23/2023)
RR
Idaho(6/5/1998)
RR
Illinois(3/27/1986)
IAR
Illinois(7/20/1998)
RR
Indiana(6/5/1986)
IAR
Indiana(7/29/2023)
RR
Iowa(3/10/1992)
RR
Massachusetts(8/20/1996)
RR
Michigan(1/19/1988)
IAR
Michigan(12/21/2022)
RR
Minnesota(5/29/2019)
RR
Mississippi(8/15/1986)
RR
Missouri(6/16/2020)
RR
Montana(12/20/2023)
RR
Nevada(3/18/2002)
RR
New Jersey(8/31/2010)
RR
Ohio(4/9/1990)
RR
Texas(6/9/1986)
IAR
Texas(4/20/2023)
RR
Washington(6/21/2023)
RR
Wisconsin(7/10/1987)
IAR
Wisconsin(3/8/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 2/6/1985
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 10/22/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 9/2/1983
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
MI
MACK INVESTMENT SECURITIES, INC.
MACK INVESTMENT SECURITIES, INC.
CRD#: 17643 / SEC#: 801-29570, 8-35536
RIA
Registered Investment Advisory firm - SEC (5/28/1987 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
211 Waukegan Rd., Suite 300 Ste 300, Northfield, IL 60093
Mailing Address
211 Waukegan Rd., Suite 300, Northfield, IL 60093
Phone number
(847) 657-6600
Established
Illinois since 01/16/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
8
SEC notice filing (15 States and Territories)
FINRA licenses (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 998 |
| AUM (Assets Under Management) | $ 263,507,750 |
Red Flags
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.
