Full text of MACK INVESTMENT SECURITIES, INC.'s X-17A-5 filed 2024-03-14 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | PUBLIC | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | 0MB APPROVAL<br>0MB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------|--------------------------------|------------|---------------------------------------------------------------------------------------------|--| | | | | | hours per response:<br>12 | | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | | FORM X-17A-5 | | 8-35536 | | | | | PART Ill | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | FACING PAGE | | | | | FILING FOR THE PERIOD BEGINNING 0 1/01 /23 | | | AND ENDING | 12/31 /23 | | | | | MM/DD/VY | | MM/DD/VY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | | NAME oF FIRM: Mack Investment Securities, Inc. | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>i!I Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | | | □ Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 211 Waukegan Road, Suite 300 | | | | | | | | | (No. and Street) | | | | | | | | | | | | | Northfield | IL | | 60093 | | | (City) | | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Stephen W Mack | | 847-657-6600 | | steve@macktracks.com | | | (Name) | | (Area Code - Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>OHAB AND COMPANY, PA | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 100 E SYBELIA AVE, SUITE 130 MAITLAND | | | FL | 32751 | | | (Address) | | (City) | | (State)<br>(Zip Code) | | | JULY 28, 2004 | | | 1839 | | | | (rt• of Registration with PCAOB)(if applicable) | | FOR OFFICIAL USE ONLY | | I<br>(PCAOB Registration Number, if applicable) | | | | | | | | | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent…Read the full text as markdown