Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Richard MacK is a financial professional with over 20 years of experience in the securities industry. Charles has held various roles at prominent firms such as TD Waterhouse Investor Services, Inc. and Nasdaq Execution Services, LLC. Charles has a broad range of licenses and registrations, including Series 7, Series 9, Series 10, Series 24, Series 4, Series 55, Series 57TO, Series 99TO and SIE. Charles is registered as a broker-dealer in New York and has also held previous registrations in Nebraska, New Jersey, and Pennsylvania. Charles Richard MacK is currently employed by Nasdaq Execution Services, LLC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
NY
11/27/2013 - Present
Nasdaq Execution Services, LLC (NEW YORK NY)
NY
04/03/2007 - 04/08/2014
NASDAQ OPTIONS SERVICES, LLC (NEW YORK NY)
NY
08/05/2003 - 01/09/2008
NASDAQ EXECUTION SERVICES, LLC (NEW YORK NY)
NJ
05/31/2002 - 06/12/2002
SECURITIES & INVESTMENT PLANNING CO. (MORRISTOWN NJ)
NE
05/27/1999 - 08/10/2001
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
BC
Issued 06/04/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/08/2005
Series 4 - Registered Options Principal Examination
BC
Issued 07/02/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/22/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/23/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/2003
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/26/1999
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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