Roszell Mack

MACK & CO. PARTNERS, LP

Dallas, TX

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CRD#: 2386014

Professional summary

Roszell Mack III, who also goes by Roszell Mack, Rozell Mack III, is a registered financial advisor currently at MACK & CO. PARTNERS, LP located in Dallas, Texas and M&CO. SECURITIES LLC located in New Hope, Pennsylvania.

Roszell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Roszell has worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 82TO, Series 79TO, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Roszell Mack | Rozell Mack Iii

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) 10/2022; Mack & Co. Partners, LP; Dallas, TX; CEO and Managing Partner; 150 hours per month during securities trading hours; Mack & Co Partners, LP is an investment adviser registered with the Texas State Securities Board. Please see the advisory Firm's Form ADV for more information about its address, the nature of its business, its owners and its services at http://www.adviserinfor.sec.gov/IAPD. Investment Related. 2) 03/2009; Mack & Co., LLC; New York, NY; CEO and Managing Member; up to 40 hours per month during securities trading hours; Mack & Co., LLC provides strategic advisory solutions to the family office and institutions and acts as a solicitor. Investment Related. 3) 05/2021; Mack & Co. GP LLC; Dallas, TX; Sole Member; up to 40 hours per month during securities trading hours; Mack & Co. GP LLC is the sponsor and general partner of special purpose investment entities. Investment Related. 4) 01/2022; Sanara MedTech Inc. (NASDAQ Symbol: SMTI); Fort Worth, TX; Member of the Board of Directors; 4 to 6 hours per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roszell Mack III'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

October 25, 2023 - Present

MACK & CO. PARTNERS, LP

RIA

CRD#: 324218

Dallas, TX

Current

February 10, 2025 - Present

M&CO. SECURITIES LLC

CRD#: 332390

NEW HOPE, PA

Past

August 9, 2011 - March 18, 2025

WEILD & CO.

CRD#: 132398

NEW YORK, NY

Past

July 15, 2010 - September 29, 2010

EDGE ADVISORS, LLC

RIA

CRD#: 142261

ATLANTA, GA

Past

February 9, 2010 - September 29, 2010

EHCP CORPORATE FINANCE, LLC

CRD#: 144134

ATLANTA, GA

Past

November 28, 1997 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

August 4, 1997 - January 21, 1999

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 20, 1995 - June 11, 1997

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

August 24, 1993 - November 16, 1994

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

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 & CO. PARTNERS, LP

CRD#: 324218 / SEC#: 801-132309

RIA

Registered Investment Advisory firm - (3/31/2025 Approved)

Texas

Registered Investment Advisory firm - (4/30/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

IAR

Texas
(10/25/2023)

Texas
(3/7/2025)

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 66

Date: 6/8/2010

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/23/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/7/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 1/2/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/8/2010

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/28/1993

National Commodity Futures Examination

SRO Registrations

FINRA

Current Firm

MACK & CO. PARTNERS, LP

CRD#: 324218 / SEC#: 801-132309

RIA

Registered Investment Advisory firm - (3/31/2025 Approved)

Texas

Registered Investment Advisory firm - (4/30/2025 Terminated)

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Contact information

Main Address

100 Crescent Court 7th Floor, Dallas, TX 75201

Mailing Address

Phone number

(945) 293-6405

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	13
AUM (Assets Under Management)	$ 102,452,560

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	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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Advisor Monitoring

Firm Stability Insights

Roszell Mack

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roszell Mack III's CRS (Customer Relationship Summary).

Certified licenses

Experience

M&CO. SECURITIES LLC

WEILD & CO.

EDGE ADVISORS, LLC

EHCP CORPORATE FINANCE, LLC

SALOMON BROTHERS INC.

CITIGROUP GLOBAL MARKETS INC.

PRUDENTIAL EQUITY GROUP, LLC

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

MACK & CO. PARTNERS, LP

State Registrations and Notice Filings

Exams

Series 66

Date: 6/8/2010

Series 65

Date: 8/23/1994

Series 63

Date: 9/7/1993

Series 82TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/8/2010

Series 3

Date: 10/28/1993

FINRA

Current Firm

MACK & CO. PARTNERS, LP

Contact information

SEC notice filing (2 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MACK & CO. PARTNERS, LP

TRUST BUT VERIFY

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