Michael S. Mack

MACK INVESTMENT SECURITIES

Northfield, IL 60093

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CRD#: 4814988

Professional summary

Michael Stephen Mack is a registered financial advisor currently at MACK INVESTMENT SECURITIES, INC. located in Northfield, Illinois.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Michael has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Midwest EMF Solutions LLC; Not investment related; Chicago IL, Environmental Health & Wellness; Sole Member; Owner; 8 hours per month; Assess homes for environmental anomalies that might be affecting or could affect the health of the inhabitants.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Stephen Mack's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Michael Stephen Mack'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

May 12, 2020 - Present

MACK INVESTMENT SECURITIES, INC.

Office #1: 211 Waukegan Rd., Suite 300, Northfield, IL 60093

RIA

CRD#: 17643

Northfield, IL

Current

May 12, 2020 - Present

MACK INVESTMENT SECURITIES, INC.

Office #1: 211 Waukegan Rd., Suite 300, Northfield, IL 60093

RIA

CRD#: 17643

Northfield, IL

Past

July 13, 2016 - May 24, 2019

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

SANTA MONICA, CA

Past

July 12, 2016 - May 24, 2019

J.P. MORGAN SECURITIES LLC

CRD#: 79

SANTA MONICA, CA

Past

February 15, 2008 - June 7, 2016

MACK INVESTMENT SECURITIES, INC.

RIA

CRD#: 17643

NORTHFIELD, IL

Past

November 5, 2007 - June 7, 2016

MACK INVESTMENT SECURITIES, INC.

CRD#: 17643

NORTHFIELD, IL

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 INVESTMENT SECURITIES, INC.

CRD#: 17643 / SEC#: 801-29570, 8-35536

RIA

Registered Investment Advisory firm - SEC (5/28/1987 Approved)

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

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

California
(5/12/2020)

IAR

California
(5/12/2020)

Florida
(2/21/2024)

Illinois
(5/12/2020)

IAR

Illinois
(5/19/2020)

IAR

Michigan
(12/22/2022)

Minnesota
(4/2/2025)

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: 2/14/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/17/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/1/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MACK INVESTMENT SECURITIES, INC.

CRD#: 17643 / SEC#: 801-29570, 8-35536

RIA

Registered Investment Advisory firm - SEC (5/28/1987 Approved)

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

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Contact information

Main Address

211 Waukegan Rd., Suite 300 Ste 300, Northfield, IL 60093

Mailing Address

211 Waukegan Rd., Suite 300, Northfield, IL 60093

Phone number

(847) 657-6600

Established

Illinois since 01/16/1986

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (15 States and Territories)

FINRA licenses (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV 2A 03-31-25 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
MACK, STEPHEN WALTER	TRUSTEE IS PRESIDENT	1007322
JENKINS, CYNTHIA MADELYN	CCO	706510

Regulatory assets under management

Total Number of Accounts	998
AUM (Assets Under Management)	$ 263,507,750

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.

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Advisor Monitoring

Firm Stability Insights

Michael S. Mack

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Stephen Mack's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Michael Stephen Mack's CRS (Customer Relationship Summary).

Certified licenses

Experience

MACK INVESTMENT SECURITIES, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

MACK INVESTMENT SECURITIES, INC.

MACK INVESTMENT SECURITIES, INC.

Primary Firm SEC Registration

MACK INVESTMENT SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/14/2008

Series 63

Date: 1/17/2008

SIE

Date: 10/1/2018

Series 7

Date: 11/1/2007

FINRA

Current Firm

MACK INVESTMENT SECURITIES, INC.

Contact information

SEC notice filing (15 States and Territories)

FINRA licenses (24 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

MACK INVESTMENT SECURITIES, INC.

TRUST BUT VERIFY

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