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SM

Stephan S. Mack

WAVECREST SECURITIES LLC
Brentwood, TN 37027
Some features on this profile are disabled
CRD#: 2095246
SM

Professional summary

Stephan Svend Mack is a registered financial professional currently at WAVECREST SECURITIES LLC located in Brentwood, Tennessee.

Stephan is registered as a RR (Registered Representative) and started their career in finance in 1990. Stephan has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Stephan Svend 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

April 16, 2022 - Present

WAVECREST SECURITIES LLC

Office #1: 205 Powell Place, Brentwood, TN 37027
BD
CRD#: 160135
Brentwood, TN
Past

June 19, 2007 - June 15, 2020

ROSS, SINCLAIRE & ASSOCIATES, LLC

BD
CRD#: 25440
CINCINNATI, OH
Past

June 15, 2007 - July 9, 2007

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
CINCINNATI, OH
Past

December 12, 1990 - July 11, 2007

SEASONGOOD & MAYER

BD
CRD#: 3321
CINCINNATI, OH

State Registrations and Notice Filings

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

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
Ohio
(4/17/2022)
RR
Tennessee
(4/16/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 7/6/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/11/1990
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WS
WAVECREST SECURITIES LLC
WAVECREST SECURITIES LLC

CRD#: 160135 / SEC#: , 8-69029

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
205 Powell Place, Brentwood, TN 37027
Mailing Address
205 Powell Place, Brentwood, TN 37027
Phone number
(646) 558-6322
Established
Delaware since 12/02/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WAVECREST HOLDINGS LLCOWNER
CREIGHTON, JOHN MATTHEWFINOP1909492
MACK, KRISTOFFER BPRESIDENT & MANAGING MEMBER1600055
RAPELLO, PAUL STUARTCHIEF COMPLIANCE OFFICER & MANAGING MEMBER1726017

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.

Company Information

WAVECREST SECURITIES LLC

CRD#: 160135Brentwood, TN 37027

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