William P. 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.
William Patrick Mack, who also goes by Bill Patrick Mack, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1996. William had worked at 5 firms and has passed the Series 65, Series 63, SIE, 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
January 24, 2005 - June 30, 2015
IMS SECURITIES, INC.
January 18, 2005 - June 30, 2015
WESTPARK WEALTH ADVISORS, INC.
December 10, 2001 - April 7, 2005
FREEDOM ASSET MANAGEMENT, INC.
September 6, 2001 - February 19, 2004
FREEDOM FINANCIAL, INC.
July 25, 1996 - April 11, 2001
PIPER SANDLER & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
IMS SECURITIES, INC.
CRD#: 35567 / SEC#: , 8-46722
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 6 |
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.
