CM
Connie N. Mack
RIA ADVISORS
Houston, TX 77079
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CRD#: 4144361
CM
Professional summary
Connie Nmn Mack, AIF®, who also goes by Connie Mack Jr, Connie Mack, is a registered financial advisor currently at RIA ADVISORS located in Houston, Texas and SIMPLEVISOR located in Houston, Texas.
Connie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Connie has worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Connie Mack Jr | Connie 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.
1. the name of the other business: Alora Consulting, LLC; whether the business is investment-related: No; the address of the other business,: Same as adviser; the nature of the other business: licensed insurance agency; your position, title, or relationship with the other business: Sole Member and owner; the start date of your relationship: 2009; the approximate number of hours/month you devote to the other business: 30; the number of hours you devote to the other business during securities trading hours: 30; and briefly describe your duties relating to the other business: Owns and acts as licensed insurance agent through the LLC. 2.the name of the other business: Mack Consulting, LLC; whether the business is investment-related: No; the address of the other business,: Same as adviser; the nature of the other business: real estate investment company; your position, title, or relationship with the other business: Sole Member and owner; the start date of your relationship: 2021; the approximate number of hours/month you devote to the other business: 30; the number of hours you devote to the other business during securities trading hours: 30; and briefly describe your duties relating to the other business: real estate investing 3. RIA Insurance Agency LLC, Owner and Agent, started 3/2024, non-investment related; approximately 35 hours a month are devoted to this activity during trading hours. 10 hours a month are devoted to this activity outside of trading hours. 4. Simplevisor, Robo SEC registered investment adviser, Managing Member, CCO, started 10/2024, investment related, approximately 10 hours a month are devoted to this activity during trading hours. 10 hours a month are devoted to this activity outside of trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Connie Nmn 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®
Experience
Current
November 6, 2009 - Present
RIA ADVISORS
Office #1: 11750 Katy Freeway Suite 840, Houston, TX 77079RIA
CRD#: 150661
Houston, TX
Current
October 3, 2024 - Present
SIMPLEVISOR
Office #1: 11750 Katy Freeway, Ste 840, Houston, TX 77079RIA
CRD#: 332608
HOUSTON, TX
Past
February 22, 2021 - August 1, 2025
RIA WEALTH ADVISORS, LLC
RIA
CRD#: 312072
ROUND ROCK, TX
Past
August 18, 2000 - September 11, 2009
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
HOUSTON, TX
Past
July 7, 2000 - September 11, 2009
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
HOUSTON, TX
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".
RA
RIA ADVISORS
ADVANCED WEALTH STRATEGIES GROUP | SIMPLEVISOR | RIA ADVISORS | NTBD ADVISORS, LLC | CLARITY FINANCIAL, LLC | ANIMAS CAPITAL
CRD#: 150661 / SEC#: 801-77832
RIA
Registered Investment Advisory firm - (4/16/2013 Approved)Arizona
Registered Investment Advisory firm - (4/23/2013 Terminated)Louisiana
Registered Investment Advisory firm - (4/25/2013 Terminated)Oklahoma
Registered Investment Advisory firm - (4/23/2013 Terminated)Texas
Registered Investment Advisory firm - (4/23/2013 Terminated)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.Highlighted states indicate IAR registrations
IAR
Arizona(8/1/2012)
IAR
Louisiana(11/10/2009)
IAR
Texas(11/6/2009)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
RA
RIA ADVISORS
ADVANCED WEALTH STRATEGIES GROUP | SIMPLEVISOR | RIA ADVISORS | NTBD ADVISORS, LLC | CLARITY FINANCIAL, LLC | ANIMAS CAPITAL
CRD#: 150661 / SEC#: 801-77832
RIA
Registered Investment Advisory firm - (4/16/2013 Approved)Arizona
Registered Investment Advisory firm - (4/23/2013 Terminated)Louisiana
Registered Investment Advisory firm - (4/25/2013 Terminated)Oklahoma
Registered Investment Advisory firm - (4/23/2013 Terminated)Texas
Registered Investment Advisory firm - (4/23/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11750 Katy Freeway Suite 840, Houston, TX 77079
Mailing Address
Phone number
(281) 501-1791
Established
Firm type
Fiscal year end
# of Employees
15
SEC notice filing (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,581 |
| AUM (Assets Under Management) | $ 1,530,453,633 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
