Richard L. Zack

MACK & CO. PARTNERS, LP

New Hope, PA

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CRD#: 2651386

Professional summary

Richard Lewis Zack, who also goes by Richard Zack, is a registered financial advisor currently at MACK & CO. PARTNERS, LP located in New Hope, Pennsylvania and M&CO. SECURITIES LLC located in New Hope, Pennsylvania.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 14 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 4, Series 24 and Series 28 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard Zack

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) 2/28/2024; Mack & Co. Partners, LP; New Hope, PA; Chief Compliance Officer & General Counsel; 160 hours per month with 120 hours per month during securities trading (business) 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) 9/2011; RLZ Consulting, LLC; New Hope, PA; Sole Proprietor; professional expert and litigation consultant in the areas of structured products, equity derivatives, hedge funds and suitability. Investment Related. If engaged, it could entail up to 5 hours to 10 hours per month outside securities trading (business) hours.; Not investment related. 3) 8/12/2009; FINRA Arbitrator; New Hope, PA; If assigned to an open FINRA Arbitration Matter, 5 to 10 hours per month during securities trading (business) hours.; Approved to act in a chairman capacity; Not Investment Related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Lewis Zack'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 3, 2024 - Present

MACK & CO. PARTNERS, LP

RIA

CRD#: 324218

New Hope, PA

Current

February 10, 2025 - Present

M&CO. SECURITIES LLC

CRD#: 332390

NEW HOPE, PA

Past

March 8, 2024 - February 18, 2025

WEILD & CO.

CRD#: 132398

BOULDER, CO

Past

March 17, 2022 - February 26, 2024

ONEPOINT BFG WEALTH PARTNERS

RIA

CRD#: 318366

FAIRFIELD, NJ

Past

November 16, 2021 - March 25, 2022

PRIVATE ADVISOR GROUP, LLC

RIA

CRD#: 155216

Blue Bell, PA

Past

November 15, 2021 - February 26, 2024

LPL FINANCIAL LLC

CRD#: 6413

FAIRFIELD, NJ

Past

December 9, 2013 - October 18, 2021

WAINWRIGHT INVESTMENT COUNSEL LLC

RIA

CRD#: 108711

Blue Bell, PA

Past

October 19, 2012 - October 18, 2021

WFS, LLC

CRD#: 116778

BOSTON, MA

Past

October 14, 2010 - October 6, 2012

N4 FINANCIAL, INC.

CRD#: 134581

REDWOOD CITY, CA

Past

October 5, 2009 - June 21, 2010

JEFFERIES BACHE SECURITIES, LLC

CRD#: 127733

NEW YORK, NY

Past

February 18, 2009 - September 30, 2009

N4 FINANCIAL, INC.

CRD#: 134581

REDWOOD CITY, CA

Past

March 4, 2005 - January 21, 2009

NATIONAL BANK OF CANADA FINANCIAL INC.

CRD#: 22698

NEW YORK, NY

Past

October 12, 2001 - July 14, 2005

CAPFI PARTNERS LLC

CRD#: 113795

NEW YORK, NY

Past

April 15, 1998 - December 20, 1999

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

October 13, 1995 - May 1, 1998

LEHMAN BROTHERS INC.

CRD#: 7506

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

Pennsylvania
(2/20/2025)

IAR

Texas
(4/3/2024)

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 65

Date: 12/5/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/16/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/28/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 5/20/2005

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/23/2001

General Securities Principal Examination

Principal/Supervisory Exam

Series 28

Date: 8/2/2001

Introducing Broker/Dealer Financial Operations Principal 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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Richard L. Zack

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Lewis Zack's CRS (Customer Relationship Summary).

Certified licenses

Experience

M&CO. SECURITIES LLC

WEILD & CO.

ONEPOINT BFG WEALTH PARTNERS

PRIVATE ADVISOR GROUP, LLC

LPL FINANCIAL LLC

WAINWRIGHT INVESTMENT COUNSEL LLC

WFS, LLC

N4 FINANCIAL, INC.

JEFFERIES BACHE SECURITIES, LLC

N4 FINANCIAL, INC.

NATIONAL BANK OF CANADA FINANCIAL INC.

CAPFI PARTNERS LLC

BANC OF AMERICA SECURITIES LLC

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

MACK & CO. PARTNERS, LP

State Registrations and Notice Filings

Exams

Series 65

Date: 12/5/2013

Series 63

Date: 10/16/1997

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/28/1995

Series 4

Date: 5/20/2005

Series 24

Date: 8/23/2001

Series 28

Date: 8/2/2001

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

Contact information

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