Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas MacK is a financial advisor with Northwestern Mutual Investment Services, LLC. Thomas has been in the financial services industry since 1993 and has a broad range of experience. Thomas holds FINRA Series 7, 9, 10, 24, 31, 63, 65, and 99 registrations, as well as state registrations in 51 states. Previously, Thomas worked at Wells Fargo Advisors, LLC, JHS Capital Advisors, Inc., Morgan Stanley Smith Barney, Citigroup Global Markets Inc., UBS Financial Services Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Retirement Investment Group. Thomas is also a registered Investment Advisor in the state of Texas.
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.
Investment research; referrals to other advisers
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.
Set rates for specific services, regardless of time or assets managed.
Referral fees
1
2
TX
07/18/2014 - Present
Northwestern Mutual Investment Services, LLC (HOUSTON TX)
FL
05/16/2011 - 06/23/2014
WELLS FARGO ADVISORS, LLC (PUNTA GORDA FL)
AR
08/31/2010 - 05/16/2011
JHS CAPITAL ADVISORS, INC. (LITTLE ROCK AR)
AR
06/01/2009 - 09/20/2010
MORGAN STANLEY SMITH BARNEY (LITTLE ROCK AR)
AR
09/17/2004 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LITTLE ROCK AR)
NJ
01/14/2000 - 10/01/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
03/01/1994 - 01/20/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
TX
01/25/1994 - 03/01/1994
RETIREMENT INVESTMENT GROUP (HOUSTON TX)
TX
08/26/1993 - 12/31/1993
RETIREMENT INVESTMENT GROUP (HOUSTON TX)
IA
Issued 03/31/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/10/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/25/2011
Series 24 - General Securities Principal Examination
BC
Issued 06/08/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/10/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/31/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 07/27/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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