MACK INVESTMENT SECURITIES, INC.
Adviser information for MACK INVESTMENT SECURITIES, INC. last updated from Form ADV on March 30th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Illinois, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 7 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 725 | $170.6M |
| Non-Discretionary | 288 | $52.6M |
| Total | 1,013 | $223.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 352 | $37.1M |
| HNW Individuals | 339 | $180.2M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 12 | $5.9M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersMarket timing services |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-29570 |
|---|---|
| SEC ERA File Number | 801-29570 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 17643 |
| Legal Entity Identifier | None |
Principal Office
211 WAUKEGAN ROADSTE 300
NORTHFIELD
IL
United States
MONDAY-THURS 8:30AM-4:30PM, FRIDAY, 8:30AM-3:30PM, 8:30AM - 4:30PM M-TH, FRIDAY 8:30AM-3:30PM
Tel: 847-657-6600, Fax: 847-657-6605
Websites
Chief Compliance Officer
CYNTHIA JENKINS
CHIEF COMPLIANCE OFFICER
211 WAUKEGAN RD
SUITE 300
NORTHFIELD
IL
United States
Tel:
847-657-6600
Fax:
847-657-6605
C*******@*************M
(Full email address available in API data)
Regulatory Contact
STEPHEN W MACK
PRESIDENT
211 WAUKEGAN ROAD
SUITE 300
NORTHFIELD
IL
United States
Tel:
847-657-6600
Fax:
847-657-6605
S****@*************M
(Full email address available in API data)
Industry Affiliates
| RETIREMENT PLANNERS, INC. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MACK, STEPHEN WALTER | Individual | – | TRUSTEE IS PRESIDENT AND CCO | 01/1986 | > 75% |