Richard J. Mack
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.
Richard Joseph Mack, who also goes by Rick Mack, Richard Joseph Makowski, Rick Makowski, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1995. Richard had worked at 17 firms and has passed the Series 66, Series 65, Series 63, Series 57TO, Series 6TO, SIE, Series 79, Series 31, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2021 - May 23, 2022
LPL FINANCIAL LLC
June 24, 2019 - May 23, 2022
LPL FINANCIAL LLC
January 10, 2018 - February 25, 2019
T3 TRADING GROUP, LLC
December 5, 2016 - December 1, 2017
ANOS CAPITAL, LLC
October 27, 2014 - May 5, 2016
T3 TRADING GROUP, LLC
August 28, 2014 - October 14, 2014
EQUITABLE ADVISORS, LLC
August 27, 2014 - October 14, 2014
EQUITABLE ADVISORS, LLC
November 9, 2012 - April 1, 2013
STILLPOINT CAPITAL, LLC
April 2, 2012 - August 27, 2012
VICUS CAPITAL, INC.
November 8, 2011 - August 30, 2012
WALNUT STREET SECURITIES, INC.
February 20, 2009 - March 28, 2011
CETERA FINANCIAL SPECIALISTS LLC
September 14, 2005 - October 22, 2007
GROVE POINT INVESTMENTS, LLC
November 17, 2003 - March 23, 2004
PFS INVESTMENTS INC.
July 27, 2001 - October 8, 2001
MORGAN STANLEY DW INC.
July 17, 2000 - June 19, 2001
ELECTRONIC TRADING GROUP, LLC
July 21, 1999 - July 17, 2000
HARRISDIRECT LLC
August 31, 1998 - May 3, 1999
ELECTRONIC TRADING GROUP, LLC
April 16, 1998 - October 5, 1998
HARRISDIRECT LLC
June 24, 1996 - April 7, 1998
CITICORP INVESTMENT SERVICES
September 18, 1995 - May 31, 1996
NEBRASKA HUDSON COMPANY, INC.
July 22, 1995 - August 2, 1995
UBS FINANCIAL SERVICES INC.
January 25, 1995 - March 22, 1995
DICKINSON & CO.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 55
Date: 10/8/1998
Limited Representative-Equity Trader ExamCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
