Mack F. Rossoff

GLC SECURITIES

New York, NY 10022

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CRD#: 1070505

Professional summary

Mack Fredric Rossoff is a registered financial professional currently at GLC SECURITIES, LLC located in New York, New York.

Mack is registered as a RR (Registered Representative) and started their career in finance in 1982. Mack has worked at 10 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mack Fredric Rossoff'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®

None

Experience

Current

May 22, 2020 - Present

GLC SECURITIES, LLC

Office #1: 600 Lexington Avenue 9th Floor, New York, NY 10022

CRD#: 153581

New York, NY

Past

October 2, 2009 - June 1, 2020

ROSSOFF & CO. LLC

CRD#: 148440

New York, NY

Past

April 18, 2007 - February 13, 2008

GEM ADVISORS, INC.

CRD#: 20624

NEW YORK, NY

Past

September 27, 2002 - April 9, 2007

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

August 29, 2000 - September 23, 2002

SOUNDVIEW TECHNOLOGY CORPORATION

CRD#: 15425

OLD GREENWICH, CT

Past

October 20, 1997 - March 16, 2000

JPMSI

CRD#: 15733

NEW YORK, NY

Past

October 24, 1995 - October 1, 1997

SCHRODER & CO. INC.

CRD#: 6112

NEW YORK, NY

Past

March 5, 1992 - October 16, 1995

SBC WARBURG DILLON READ INC.

CRD#: 1650

STAMFORD, CT

Past

January 18, 1989 - March 11, 1992

DRESDNER KLEINWORT WASSERSTEIN, LLC

CRD#: 22068

NEW YORK, NY

Past

October 21, 1982 - February 12, 1988

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(5/22/2020)

Colorado
(5/22/2020)

New York
(5/22/2020)

Exams

State Security Law Exam

Series 63

Date: 12/12/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/16/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/18/1993

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GLC SECURITIES, LLC

GLC SECURITIES, LLC | GLCA SECURITIES, LLC

CRD#: 153581 / SEC#: , 8-68557

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

600 Lexington Avenue 9th Floor, New York, NY 10022

Mailing Address

600 Lexington Avenue 9th Floor, New York, NY 10022

Phone number

(212) 542-4540

Established

Delaware since 08/12/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
GLC ADVISORS & CO. HOLDINGS, LLC	OWNER
BENNINGER, THOMAS MICHAEL	PRINCIPAL
HAN, ABRAHAM T	PRINCIPAL
KINZER, CAROL ANN	FINOP/CFO	4519471
REYNERTSON, JON SOREN	PRINCIPAL/CEO/CCO

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Mack F. Rossoff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mack Fredric Rossoff's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROSSOFF & CO. LLC

GEM ADVISORS, INC.

BANC OF AMERICA SECURITIES LLC

SOUNDVIEW TECHNOLOGY CORPORATION

JPMSI

SCHRODER & CO. INC.

SBC WARBURG DILLON READ INC.

DRESDNER KLEINWORT WASSERSTEIN, LLC

CREDIT SUISSE SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/12/2002

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/16/1982

Series 24

Date: 2/18/1993

FINRA

Current Firm

GLC SECURITIES, LLC

Contact information

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

GLC SECURITIES, LLC

TRUST BUT VERIFY

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