Full text of MACK INVESTMENT SECURITIES, INC.'s X-17A-5 filed 2023-03-15 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | | 0MB APPROVAL | | | | |--------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------|--------------------------|-------------------------------------------------|--|--|--| | | SECURITIES AND EXCHANGE COMMISSION | | 0MB Number: 3235•0123<br>Expires: Oct. 31, 2023 | | | | | PUBLIC<br>Washington, D.C. 20549 | | Estimated average burden | | | | | | | | | hours per response: 12 | | | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | | | FORM X-17A-5 | | 8-35536 | | | | | PART Ill | | | | | | | | | | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | | | | | | | | | AND ENDING 12/31 /22<br>FILING FOR THE PERIOD BEGINNING 0 1/01 /22 | | | | | | | | | MM/DD/VY | | MM/DD/VY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME oF FIRM: Mack Investment Securities, Inc. | | | | | | | | TYPE OF REGISTRANT.(check all applicable boxes): | | | | | | | | !!I Broker-dealer | □ Security-based swap dealer | | □ Major security-based swap participant | | | | | □ Check here If respondent Is also an OTC derivatives dealer | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | | | | | | | | 211 Waukegan Road, Suite 300<br>(No. and Street) | | | | | | | | | | | | | | | | Northfield | IL | | 60093 | | | | | (City)<br>(State)<br>(Zip Code) | | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Stephen W Mack | 84 7-657 -6600 | steve@macktracks.com | | | | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | | 8. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | OHAB AND COMPANY, PA | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | 100 E SYBELIAAVE, SUITE 130 MAITLAND | FL | 32751 | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | JULY 28, 2004 | | 1839 | | | | | | (Date of Registration with PCAOB)(ff applicable) | | | (PCAOB Registration Number, If applicable) | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | • Claims for exemption from the requirement that the annual reports be co…Read the full text as markdown