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Andrew Steven Mack

Investment Adviser Representative at ARETE WEALTH ADVISORS, LLC

New York, NYCRD #5932062Dual-registered
Disclosure(s) on record — see official records below
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
12 yrs
States Registered
1 states
Exams Passed
4

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
New York
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 11/14/2020
Series 63
Uniform Securities Agent State Law Examination
Passed 8/27/2012
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 8/14/2012

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
$0 - $249,0003.00%
$250,000 - $749,9992.50%
$750,000 - $1,499,9992.00%
$1,500,000 - $4,999,9991.75%
$5,000,000 and over1.50%
Account minimum: $50,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

ARETE WEALTH Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

ARETE WEALTH MANAGEMENT, LLCCurrent
1/13/2026New York, NY
LAIDLAW & COMPANY (UK) LTD.
8/15/20121/7/2016NEW YORK, NY
AEGIS CAPITAL CORP.
5/2/201710/19/2020NEW YORK, NY
A.G.P. / ALLIANCE GLOBAL PARTNERS
10/14/20203/28/2024New York, NY
LAIDLAW & COMPANY (UK) LTD.
1/7/20162/3/2016NEW YORK, NY
NATIONAL SECURITIES CORPORATION
1/5/20165/25/2017NEW YORK, NY
RAYMOND JAMES FINANCIAL SERVICES, INC.
1/10/20254/9/2025GREENWICH, CT

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Andrew Steven Mack has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Andrew Steven Mack - Financial Advisor in New York, NY | AdvisorFinder