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RM

Robert M. Mack

Some features on this profile are disabled
CRD#: 2247440
RM

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.

Robert Michael Mack, who also goes by Bob Michael Mack Mr, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bob Michael Mack Mr

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®
None

Experience

Past

November 2, 2018 - May 21, 2021

SRT SECURITIES LLC

BD
CRD#: 33725
BIRMINGHAM, MI
Past

June 9, 2014 - September 8, 2016

RAFFERTY CAPITAL MARKETS, LLC

BD
CRD#: 23682
NEW YORK, NY
Past

January 2, 2014 - June 11, 2014

X-CHANGE FINANCIAL ACCESS, LLC

BD
CRD#: 126201
CHICAGO, IL
Past

April 9, 2013 - January 21, 2014

XFA SECURITIES, LLC

BD
CRD#: 147909
CHICAGO, IL
Past

January 10, 2012 - April 23, 2013

MKM PARTNERS LLC

BD
CRD#: 114666
STAMFORD, CT
Past

January 6, 2010 - December 13, 2011

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

April 4, 2006 - January 13, 2010

PALI CAPITAL, INC.

BD
CRD#: 117783
NEW YORK, NY
Past

September 10, 2004 - October 4, 2005

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

February 25, 2004 - August 24, 2004

WELLS FARGO SECURITIES, LLC

BD
CRD#: 7665
SAN FRANCISCO, CA
Past

May 11, 1999 - January 5, 2004

NEEDHAM & COMPANY, LLC

BD
CRD#: 16360
NEW YORK, NY
Past

July 1, 1998 - April 22, 1999

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

April 10, 1995 - July 1, 1998

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
NEW YORK, NY
Past

March 24, 1994 - January 20, 1995

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 8/27/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/8/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/23/1994
General Securities Representative Examination

Current Firm

SS
SRT SECURITIES LLC
ISRAEL A. ENGLANDER & CO., INC. | SRT SECURITIES LLC | ISRAEL A. ENGLANDER & CO., LLC

CRD#: 33725 / SEC#: , 8-34415

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

Main Address
416 Hawthorne Street, Birmingham, MI 48009
Mailing Address
416 Hawthorne Street, Birmingham, MI 48009
Phone number
(917) 282-4757
Established
Delaware since 05/24/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SRT SECURITIES INC.MEMBER
FRUCHTER, MICHAEL ALANCFO/FINANCIAL & OPERATIONS PRINCIPAL4202965
TOBIAS, STEPHEN RORYPRESIDENT, CCO, S.R.O.P. & C.R.O.P.1267337

Disclosures

Regulatory Event24

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

SRT SECURITIES LLC

CRD#: 33725

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