Casey A. Mack

THE SUM | Vice President, Financial Consultant

The Woodlands, TX 77381

CRD#: 5345198

Professional summary

Casey Alan Mack, CFP® is a registered financial advisor currently at THE SUM located in The Woodlands, Texas.

Casey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Casey has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Biography

I partner with high net worth individuals and families to help craft goal based financial plans. These goals are identified through a collaborative and disciplined process using my many years of experience.

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Employee and Employer Plan Ben...

Investment Planning

Retirement Planning

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Casey Alan 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®

CFP^®

Certified Financial Planner

Start date: 2014

Education

University of Nebraska

Bachelor of Science (BS) - Finance

2007

Experience

Current

July 8, 2024 - Present

THE SUM

Office #1: 4526 Research Forest Dr. Suite 240, The Woodlands, TX 77381

RIA

CRD#: 297658

The Woodlands, TX

Past

July 13, 2018 - July 3, 2024

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BOSTON, MA

Past

April 10, 2012 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

THE WOODLANDS, TX

Past

April 2, 2012 - July 3, 2024

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

THE WOODLANDS, TX

Past

March 6, 2012 - March 13, 2012

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

SAN ANTONIO, TX

Past

February 11, 2011 - March 13, 2012

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

SAN ANTONIO, TX

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".

THE SUM

THE PLANNING PROJECT LLC | THE SUM

CRD#: 297658 / SEC#: 801-122376

RIA

Registered Investment Advisory firm - (9/23/2021 Approved)

Texas

Registered Investment Advisory firm - (10/4/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Texas
(7/8/2024)

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 65

Date: 2/23/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/7/2011

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: 2/10/2011

General Securities Representative Examination

Current Firm

THE SUM

THE PLANNING PROJECT LLC | THE SUM

CRD#: 297658 / SEC#: 801-122376

RIA

Registered Investment Advisory firm - (9/23/2021 Approved)

Texas

Registered Investment Advisory firm - (10/4/2021 Terminated)

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Contact information

Main Address

4526 Research Forest Dr. Suite 240, The Woodlands, TX 77381

Mailing Address

Phone number

(281) 940-4859

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (9/8/2025)

Regulatory assets under management

Total Number of Accounts	875
AUM (Assets Under Management)	$ 409,460,174

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Casey A. Mack

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Casey Alan Mack's CRS (Customer Relationship Summary).

Certified licenses

Education

University of Nebraska

Experience

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

THE SUM

State Registrations and Notice Filings

Exams

Series 65

Date: 2/23/2012

Series 63

Date: 3/7/2011

SIE

Date: 10/1/2018

Series 7

Date: 2/10/2011

Current Firm

THE SUM

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE SUM

TRUST BUT VERIFY

Contact information

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