William A. Mack

PLANMEMBER SECURITIES

Schenectady, NY

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CRD#: 1327268

Professional summary

William Albert Mack, who also goes by Bill Mack, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Schenectady, New York.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. William has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill 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.

1)FINANCIAL INSTITUTIONS SERVICES CORPORATION OF AMERICA (DBA-FISC OF AMERICA);200 Thackeray Ct, SCHENECTADY, NY 12309-5517;INSURANCE MARKETING SERVICES/INSURANCE AGENCY; OWNER/PRESIDENT;START 05/1986:120HRS/MO;IR; 2 HRS/PER DAY/TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Albert Mack's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view William Albert Mack's CRS (Customer Relationship Summary).

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

December 4, 2009 - Present

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

Schenectady, NY

Current

May 29, 2008 - Present

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

Schenectady, NY

Past

February 16, 2005 - June 16, 2008

HAZARD & SIEGEL, INC.

CRD#: 2048

SCHENECTADY, NY

Past

April 12, 2002 - October 1, 2003

WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830

VICTOR, NY

Past

January 19, 1999 - December 31, 2000

AMERICAN CAPITAL CORPORATION

CRD#: 16124

VALLEY FORGE, PA

Past

February 1, 1989 - December 31, 1997

POLARIS FINANCIAL SERVICES, INC.

CRD#: 14521

CONCORD, NH

Past

June 30, 1987 - December 11, 1987

ADVEST, INC.

CRD#: 10

Past

January 2, 1987 - July 7, 1987

CNL, INC.

CRD#: 15820

Past

December 18, 1984 - June 10, 1986

MOSELEY SECURITIES CORPORATION

CRD#: 7908

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".

PLANMEMBER SECURITIES CORPORATION

INVESTORS RETIREMENT & MANAGEMENT CORPORATION | PLANMEMBER SECURITIES CORPORATION | IRM DISTRIBUTORS, INC.

CRD#: 11869 / SEC#: 801-39177, 8-25065

RIA

Registered Investment Advisory firm - SEC (6/27/1991 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles 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.

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

Florida
(7/27/2012)

Maine
(3/10/2014)

New York
(5/29/2008)

IAR

New York
(6/23/2021)

North Carolina
(2/5/2009)

South Carolina
(10/5/2015)

Tennessee
(5/13/2021)

Virginia
(10/19/2022)

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

State Security Law Exam

IAR

Series 65

Date: 2/2/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/5/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/15/1984

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PLANMEMBER SECURITIES CORPORATION

INVESTORS RETIREMENT & MANAGEMENT CORPORATION | PLANMEMBER SECURITIES CORPORATION | IRM DISTRIBUTORS, INC.

CRD#: 11869 / SEC#: 801-39177, 8-25065

RIA

Registered Investment Advisory firm - SEC (6/27/1991 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

6187 Carpinteria Avenue, Carpinteria, CA 93013

Mailing Address

6187 Carpinteria Avenue, Carpinteria, CA 93013-2060

Phone number

(805) 684-1199

Established

California since 03/12/1982

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

432

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PLANMEMBER WRAP FEE PROGRAM ELITE STRATEGIST DECEMBER 2024 (3/31/2025)

PLANMEMBER SCARBOROUGH BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER OPTIFUND BROCHURE 2023 MARCH (3/31/2025)

PLANMEMBER NON-PLATFORM IRA BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER SCHWAB IAR PROGRAM FEBRUARY 2025 (3/31/2025)

PLANMEMBER RETIREMENT INVESTMENT BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER Q8P IAR PROGRAM 2023 MARCH (3/31/2025)

PLANMEMBER WRAP FEE PROGRAM INVESTMENT SAVINGS PLUS (3/31/2025)

PLANMEMBER PREFERENCE AND IAR BROCHURE MARCH 2023 (3/31/2025)

PLANMEMBER WORKPLACE ADVISORY PROGRAM 2023 MARCH (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
PLANMEMBER FINANCIAL CORPORATION	OWNER
BOWMAN, BYRON FRANCIS	CHIEF LEGAL OFFICER & SECRETARY	2673117
HALEY, SEAN PATRICK	CHIEF COMPLIANCE OFFICER	2837579
HANSON, STEVEN R	CHIEF FINANCIAL OFFICER / FINOPS	4854600
JANEWAY, TERRALL JOSEPH	EVP/CHIEF OPERATING OFFICER	2947154
ZIEHL, JON MICHAEL	PRESIDENT	707642

Regulatory assets under management

Total Number of Accounts	68,978
AUM (Assets Under Management)	$ 9,035,509,268

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/21/2022	Cover Page	Report
12/21/2022	Cover Page	Report

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.

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William A. Mack

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Albert Mack's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view William Albert Mack's CRS (Customer Relationship Summary).

Certified licenses

Experience

PLANMEMBER SECURITIES CORPORATION

HAZARD & SIEGEL, INC.

WALL STREET FINANCIAL GROUP, INC.

AMERICAN CAPITAL CORPORATION

POLARIS FINANCIAL SERVICES, INC.

ADVEST, INC.

CNL, INC.

MOSELEY SECURITIES CORPORATION

Primary Firm SEC Registration

PLANMEMBER SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 2/2/2012

Series 63

Date: 2/5/1985

SIE

Date: 10/1/2018

Series 7

Date: 12/15/1984

FINRA

Current Firm

PLANMEMBER SECURITIES CORPORATION

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PLANMEMBER SECURITIES CORPORATION

TRUST BUT VERIFY

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