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Thomas Mack

Northwestern Mutual Investment Services,llc
32 Years of Experience
Houston, TX
1 DisclosureBroker
View SEC Summary
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Thomas Mack is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in Houston, TX, with 32 years of industry experience. Thomas is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 1 clients.

Northwestern Mutual Investment Services,llc
Compensation
Fixed/Hourly
Firm Size
2138 advisors
IM Fee
Planning only

Fee Structure

Investment management only (planning not offered)

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

View Full SEC Brochure

Location

1 Riverway Ste 900, Houston, TX, 77056

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2004
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
July 2014 - Present · 12 yrs 3 mos
Northwestern Mutual Investment Services, LLCBroker
July 2014 - Present · 12 yrs 3 mos
Previous Registrations
Wells Fargo Advisors, LLC
May 2011 - June 2014 · 3 yrs 1 mo
Wells Fargo Advisors, LLCBroker
May 2011 - June 2014 · 3 yrs 1 mo
Jhs Capital Advisors, INC.
August 2010 - May 2011 · 9 mos
Jhs Capital Advisors, INC.Broker
August 2010 - May 2011 · 9 mos
Morgan Stanley Smith Barney LLC
June 2009 - September 2010 · 1 yr 3 mos
Morgan Stanley Smith BarneyBroker
June 2009 - September 2010 · 1 yr 3 mos
Citigroup Global Markets INC.Broker
September 2004 - June 2009 · 4 yrs 9 mos
Citigroup Global Markets INC.
September 2004 - June 2009 · 4 yrs 9 mos
UBS Financial Services INC.
September 2002 - October 2004 · 2 yrs 1 mo
UBS Financial Services INC.Broker
January 2000 - October 2004 · 4 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 1994 - January 2000 · 5 yrs 10 mos
Retirement Investment GroupBroker
January 1994 - March 1994 · 2 mos
Retirement Investment GroupBroker
August 1993 - December 1993 · 4 mos
State Registrations51 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPARISCSDTNTXUTVAVTWAWIWVWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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