Jacky Mak
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.
Jacky Mak was a registered financial professional .
Jacky is a previously registered financial professional and started their career in finance in 1988. Jacky had worked at 7 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2012 - September 21, 2015
NI ADVISORS
February 9, 2002 - January 7, 2010
PARKLAND SECURITIES, LLC
June 1, 1996 - February 9, 2002
WALNUT STREET SECURITIES, INC.
June 15, 1993 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
May 6, 1992 - June 7, 1993
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
November 22, 1991 - August 4, 1992
NORTH AMERICAN MANAGEMENT, INC.
June 21, 1988 - November 14, 1991
EQUITABLE ADVISORS, LLC
May 11, 1988 - November 14, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NI ADVISORS
CRD#: 134502 / SEC#: , 8-66841
Contact information
FINRA licenses (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 3,560,000 |
Disclosures
| Regulatory Event | 1 |
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.
