Richard A. 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 Andrew Mack, who also goes by Rich Mack, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2004. Richard had worked at 3 firms and has passed the Series 66, 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
August 11, 2016 - March 7, 2018
SCOTTRADE INVESTMENT MANAGEMENT
March 3, 2008 - March 7, 2018
SCOTTRADE, INC.
January 2, 2004 - June 29, 2007
SECURIAN FINANCIAL SERVICES, INC.
January 1, 2004 - June 29, 2007
SECURIAN FINANCIAL SERVICES, INC.
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
Current Firm
SCOTTRADE INVESTMENT MANAGEMENT
CRD#: 169988 / SEC#: 801-79217
Contact information
Red Flags
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