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AM

Amanda G. Mack

Some features on this profile are disabled
CRD#: 4825448
AM

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.

Amanda Grace Mack, who also goes by Amanda Grace Mack Ms., Amanda Mack, was a registered financial professional .

Amanda is a previously registered financial professional and started their career in finance in 2004. Amanda had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Amanda Grace Mack Ms. | Amanda 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 15, 2014 - March 4, 2015

CABOT LODGE SECURITIES LLC

BD
CRD#: 159712
NEW YORK, NY
Past

August 8, 2011 - September 24, 2013

CAREY FINANCIAL, LLC

BD
CRD#: 15246
NEW YORK, NY
Past

June 2, 2010 - April 27, 2011

INVESCO ADVISERS, INC.

RIA
CRD#: 105360
ATLANTA, GA
Past

June 2, 2010 - April 27, 2011

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
HOUSTON, TX
Past

June 22, 2009 - June 8, 2010

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

June 19, 2009 - June 8, 2010

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
NEW YORK, NY
Past

June 1, 2009 - June 19, 2009

MORGAN STANLEY

RIA
CRD#: 149777
PURCHASE, NY
Past

June 1, 2009 - June 19, 2009

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
NEW YORK, NY
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

January 9, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
JERSEY CITY, NY
Past

January 9, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

October 22, 2004 - October 2, 2006

LORD, ABBETT & CO. LLC

RIA
CRD#: 110391
JERSEY CITY, NJ
Past

September 3, 2004 - October 2, 2006

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/12/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/4/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/2/2004
General Securities Representative Examination

Current Firm

CL
CABOT LODGE SECURITIES LLC
CABOT LODGE SECURITIES LLC | WENTWORTH CAPITAL MARKETS | PRIME UNITED SECURITIES LLC

CRD#: 159712 / SEC#: , 8-69009

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

Main Address
425 N Martingale Rd Suite 1220, Schaumburg, IL 60173
Mailing Address
425 N Martingale Rd Suite 1220, Schaumburg, IL 60173
Phone number
(212) 388-6200
Established
Delaware since 10/21/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS LLCMEMBER
FEIGENBLATT, ELANA RACHELCOO4880188
GOULD, CRAIG MICHAELPRESIDENT/CEO2367293
LEIBOWITZ, ROGER FARRELLFINOP2536523
SMITH, STEPHEN JOSEPHOPTIONS PRINCIPAL1123669
WEBB, WILLIAM DUDLEY JRCHIEF COMPLIANCE OFFICER1256777

Disclosures

Regulatory Event2
Arbitration1

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.

Company Information

CABOT LODGE SECURITIES LLC

CRD#: 159712

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