Joseph W. Mack

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CRD#: 5333914

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.

Joseph W Mack, who also goes by Joseph W Mack, Joseph William Mack II, Joseph William Mack, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2007. Joseph had worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joseph W Mack | Joseph William Mack Ii | Joseph William 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

March 14, 2011 - December 9, 2013

DEAN INVESTMENTS

RIA

CRD#: 104635

BEAVERCREEK, OH

Past

April 11, 2008 - October 24, 2008

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

COLUMBUS, OH

Past

April 10, 2008 - October 24, 2008

EQUITABLE ADVISORS, LLC

CRD#: 6627

COLUMBUS, OH

Past

February 4, 2008 - March 18, 2008

WADDELL & REED

RIA

CRD#: 866

DUBLIN, OH

Past

January 31, 2008 - March 18, 2008

WADDELL & REED

CRD#: 866

DUBLIN, OH

Past

July 19, 2007 - October 11, 2007

EQUITABLE ADVISORS, LLC

CRD#: 6627

COLUMBUS, OH

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".

DEAN INVESTMENTS

DEAN C H & ASSOCIATES, INC. | DEAN INVESTMENTS | DEAN INVESTMENT ASSOCIATES, LLC | DEAN INVESTMENT ASSOCIATES

CRD#: 104635 / SEC#: 801-9895

RIA

Registered Investment Advisory firm - (1/1/1975 Approved)

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.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/15/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 7/18/2007

General Securities Representative Examination

Current Firm

DEAN INVESTMENTS

DEAN C H & ASSOCIATES, INC. | DEAN INVESTMENTS | DEAN INVESTMENT ASSOCIATES, LLC | DEAN INVESTMENT ASSOCIATES

CRD#: 104635 / SEC#: 801-9895

RIA

Registered Investment Advisory firm - (1/1/1975 Approved)

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Contact information

Main Address

3500 Pentagon Boulevard, Suite 200, Beavercreek, OH 45431

Mailing Address

Phone number

(937) 222-9531

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DEAN INVESTMENT ASSOCIATES, LLC (3/26/2025)

Regulatory assets under management

Total Number of Accounts	494
AUM (Assets Under Management)	$ 895,627,639

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2025	Cover Page	Report
10/23/2024	Cover Page	Report
08/23/2023	Cover Page	Report
02/22/2023	Cover Page	Report

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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Joseph W. Mack

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DEAN INVESTMENTS

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

WADDELL & REED

WADDELL & REED

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

DEAN INVESTMENTS

State Registrations and Notice Filings

Exams

Series 66

Date: 6/15/2007

Series 7

Date: 7/18/2007

Current Firm

DEAN INVESTMENTS

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

DEAN INVESTMENTS

TRUST BUT VERIFY

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