Charles R. Mack

NASDAQ EXECUTION SERVICES

Philadelphia, PA 19104

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CRD#: 3209037

Professional summary

Charles Richard Mack, who also goes by Chuck Mack, is a registered financial professional currently at NASDAQ EXECUTION SERVICES, LLC located in Philadelphia, Pennsylvania.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1999. Charles has worked at 4 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 4, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chuck Mack

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) - BD

Click below to view Charles Richard Mack's 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

November 27, 2013 - Present

NASDAQ EXECUTION SERVICES, LLC

Office #1: 2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104Office #2: 151 W 42nd Street, New York, NY 10036

CRD#: 7270

Philadelphia, PA

Past

April 3, 2007 - April 8, 2014

NASDAQ CAPITAL MARKETS ADVISORY LLC

CRD#: 104295

NEW YORK, NY

Past

August 5, 2003 - January 9, 2008

NASDAQ EXECUTION SERVICES, LLC

CRD#: 7270

NEW YORK, NY

Past

May 31, 2002 - June 12, 2002

CELADON FINANCIAL GROUP LLC

CRD#: 36538

MORRISTOWN, NJ

Past

May 27, 1999 - August 10, 2001

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(11/27/2013)

General Securities Sales Supervisor - Options Module Examination

CRD#: 7270 / SEC#: , 8-37329

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104

Mailing Address

2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104

Phone number

(215) 496-5000

Established

Delaware since 11/25/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
THE NASDAQ STOCK MARKET, LLC	SOLE MEMBER
CRANE, LINDA	PRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER	4374198
HINTON-MILLER, BRENDA	CHIEF COMPLIANCE OFFICER	3208241
LAWN, DAVID EDWARD	CHIEF EXECUTIVE OFFICER	3155025
MARIGLIANO, DONALD EDWARD JR	REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL	1843181

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Advisor Monitoring

Firm Stability Insights

Charles R. Mack

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Richard Mack's CRS (Customer Relationship Summary).

Certified licenses

Experience

NASDAQ CAPITAL MARKETS ADVISORY LLC

NASDAQ EXECUTION SERVICES, LLC

CELADON FINANCIAL GROUP LLC

TD AMERITRADE, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/4/1999

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 11/17/2003

Series 7

Date: 5/26/1999

Series 4

Date: 9/8/2005

Series 24

Date: 7/2/2004

Series 10

Date: 1/22/2001

Series 9

Date: 10/23/2000

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE American LLC

NYSE Arca, Inc.

NYSE National, Inc.

NYSE Texas, Inc.

Nasdaq BX, Inc.

Nasdaq GEMX, LLC

Nasdaq ISE, LLC

Nasdaq MRX, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

NASDAQ EXECUTION SERVICES, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NASDAQ EXECUTION SERVICES, LLC

TRUST BUT VERIFY

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