KM
Kevin E. Mack
MACK INVESTMENT SECURITIES
Northfield, IL 60093
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CRD#: 5167264
KM
Professional summary
Kevin Edward Mack is a registered financial advisor currently at MACK INVESTMENT SECURITIES, INC. located in Northfield, Illinois.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Kevin has worked at 1 firm and has passed the Series 66, Series 6TO, SIE, Series 7 and Series 24 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Edward Mack's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin Edward 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®
NoneExperience
Current
August 1, 2012 - Present
MACK INVESTMENT SECURITIES, INC.
Office #1: 211 Waukegan Road Ste 300, Northfield, IL 60093RIA
BD
CRD#: 17643
Northfield, IL
Current
February 9, 2012 - Present
MACK INVESTMENT SECURITIES, INC.
Office #1: 211 Waukegan Rd., Suite 300, Northfield, IL 60093RIA
BD
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".
MI
MACK INVESTMENT SECURITIES, INC.
MACK INVESTMENT SECURITIES, INC.
CRD#: 17643 / SEC#: 801-29570, 8-35536
RIA
Registered Investment Advisory firm - SEC (5/28/1987 Approved)BD
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.RR
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
IAR
Arizona(10/16/2024)
IAR
Florida(12/19/2023)
RR
Florida(1/2/2024)
RR
Illinois(8/1/2012)
IAR
Illinois(8/1/2012)
IAR
Michigan(1/6/2023)
RR
Minnesota(5/29/2019)
RR
Washington(4/17/2023)
RR
Wisconsin(1/4/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MI
MACK INVESTMENT SECURITIES, INC.
MACK INVESTMENT SECURITIES, INC.
CRD#: 17643 / SEC#: 801-29570, 8-35536
RIA
Registered Investment Advisory firm - SEC (5/28/1987 Approved)BD
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
8
SEC notice filing (15 States and Territories)
FINRA licenses (24 States and Territories)
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.
