Thomas W. Lafrancis

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CRD#: 1357111

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Thomas Walter Lafrancis, CFP® was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 4 firms and has passed the Series 63, Series 6 and Series 26 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)

The CRS(Customer Relationship Summary) document is not provided.

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^®

Certified Financial Planner

Experience

Past

October 17, 1995 - June 14, 1999

MACK INVESTMENT SECURITIES, INC.

CRD#: 17643

NORTHFIELD, IL

Past

July 19, 1994 - September 28, 1995

FOUNDATION INVESTORS SECURITIES CORP.

CRD#: 35541

Past

April 24, 1991 - July 18, 1994

USLIFE EQUITY SALES CORP.

CRD#: 7962

NEW YORK, NY

Past

May 16, 1985 - December 31, 1990

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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".

MACK INVESTMENT SECURITIES, INC.

CRD#: 17643 / SEC#: 801-29570, 8-35536

RIA

Registered Investment Advisory firm - SEC (5/28/1987 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 6/26/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 5/15/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/1/1988

Investment Company Products/Variable Contracts Principal Examination

Current Firm

MACK INVESTMENT SECURITIES, INC.

CRD#: 17643 / SEC#: 801-29570, 8-35536

RIA

Registered Investment Advisory firm - SEC (5/28/1987 Approved)

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

SEC notice filing (15 States and Territories)

FINRA licenses (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV 2A 03-31-25 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
MACK, STEPHEN WALTER	TRUSTEE IS PRESIDENT	1007322
JENKINS, CYNTHIA MADELYN	CCO	706510

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.

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Firm Stability Insights

Thomas W. Lafrancis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FOUNDATION INVESTORS SECURITIES CORP.

USLIFE EQUITY SALES CORP.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

MACK INVESTMENT SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/26/1985

Series 6

Date: 5/15/1985

Series 26

Date: 12/1/1988

Current Firm

MACK INVESTMENT SECURITIES, INC.

Contact information

SEC notice filing (15 States and Territories)

FINRA licenses (24 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

MACK INVESTMENT SECURITIES, INC.

TRUST BUT VERIFY

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